The Transportation Planning Process: Key Issues

TheTransportation
Planning Process Key Issues

A Briefing Book for
Transportation Decisionmakers,
Officials, and Staff
A Publication of the Transportation Planning Capacity Building Program

Federal Highway Administration
Federal Transit Administration
NOTICE
This document is disseminated under the sponsorship of the Department of Transportation
in the interest of information exchange. The United States Government assumes no liability
for its contents or use thereof. The United States Government does not endorse products
or manufacturers. Trademarks or manufacturers’ names appear herein only because they
are considered essential to the objective of this document.
TABLE OF CONTENTS
1 Introduction
2 PART I: OVERVIEW OF TRANSPORTATION PLANNING

3 What is the transportation planning process?
14 PART II: MAJOR POLICY AND PLANNING ISSUES

15 Air Quality
21 Congestion Management Process (CMP)
23 Financial Planning and Programming
27 Freight Movement
29 Land Use and Transportation
32 Performance Measures
34 Planning and Environment Linkages
39 Public Involvement
42 Safety
44 Security
46 System Management and Operations (M&O)
49 Technology Applications for Planning: Models, GIS, and Visualization
54 Title VI/Environmental Justice (EJ)
57 Transportation Asset Management
60 APPENDICES
60 Recent Surface Transportation Reauthorizations
61 Acronyms
62 Glossary
66 Financing the Statewide Plan: Federal Transportation Programs
and Revenue Sources
67 Major Federal-Aid Highway Programs under SAFETEA-LU
68 Federal Transit Administration Programs
69 Funding Transferability under SAFETEA-LU
70 Innovative Highway Financing Strategies/Tools
The Transportation Planning Process: Key Issues
PART I: OVERVIEW OF TRANSPORTATION PLANNING
Transportation planning plays a fundamental role in the state, region or

community’s vision for its future. It includes a comprehensive consideration of
possible strategies; an evaluation process that encompasses diverse viewpoints;
the collaborative participation of relevant transportation-related agencies and
organizations; and open, timely, and meaningful public involvement.
Figure 1: Transportation planning process
2
INTRODUCTION
Transportation helps shape an area’s economic health and quality of life. Not
only does the transportation system provide for the mobility of people and goods,
it also influences patterns of growth and economic activity by providing access to
land. The performance of the system affects public policy concerns like air
quality, environmental resource consumption, social equity, land use, urban
growth, economic development, safety, and security. Transportation planning
recognizes the critical links between transportation and other societal goals. The
planning process is more than merely listing highway and transit capital projects.
It requires developing strategies for operating, managing, maintaining, and
financing the area’s transportation system in such a way as to advance the area’s
long-term goals.
This book provides government officials, transportation decisionmakers,

planning board members, and transportation service providers with an overview
of transportation planning. It contains a basic understanding of key concepts in
statewide and metropolitan transportation planning, along with references for
additional information. Part I discusses transportation planning and its
relationship to decisionmaking. This section is general, and provides a broad
introduction to the planning process. Part II presents short descriptions
of important policy and planning topics. This section includes more technical
information than Part I, but is not intended to provide details of each policy
issue. This report is available electronically on the Transportation Planning
Capacity Building website at www.planning.dot.gov and is updated periodically to
include additional topics or information.
This book has been updated to reflect changes in

legislation that affect statewide and metropolitan
transportation planning requirements. It is an
informational publication that replaces its prede-
cessor, the 2004 “The Metropolitan Transportation
Planning Process: Key Issues, A Briefing Notebook
for Transportation Decisionmakers, Officials, and
Staff” (Publication FHWA-EP-03-041 5/04).
For additional information about any of the topics

discussed in this book, contact your local Federal
Highway Administration (FHWA) division or Previous version of Briefing
Federal Transit Administration (FTA) regional Notebook for Transportation
Decisionmakers, Officials, and Staff
office. For information on how to reach FHWA or
FTA staff, visit the FHWA and FTA websites at www.fhwa.dot.gov and
www.fta.dot.gov, or the Transportation Planning Capacity Building website
at www.planning.dot.gov.
1
What is the transportation

A metropolitan
planning process? planning area may
include the urbanized area
Transportation planning is a cooperative process designed to foster involvement by all (UA), areas expected to
users of the system, such as the business community, community groups, become urbanized within the
next 20 years, and additional
environmental organizations, the traveling public, freight operators, and the general
areas determined by political
public, through a proactive public participation process conducted by the boundaries (e.g., a county) or
Metropolitan Planning Organization (MPO), state Department of Transportation geographic boundaries (e.g.,
an air basin).
(state DOT), and transit operators.
Figure 1 illustrates the transportation planning process.
Transportation planning includes a number of steps:
• Monitoring existing conditions;
• Forecasting future population and employment growth, including assessing

projected land uses in the region and identifying major growth corridors;
• Identifying current and projected future transportation problems and needs

Urbanized Area (UA):
and analyzing, through detailed planning studies, various transportation
an area that contains a city of
improvement strategies to address those needs; 50,000 or more in population
plus the incorporated sur-
• Developing long-range plans and short-range programs of alternative capital rounding areas meeting size
improvement and operational strategies for moving people and goods; or density criteria as defined
by the U.S. Census Bureau.
• Estimating the impact of recommended future improvements to the
transportation system on environmental features, including air quality; and
• Developing a financial plan for securing sufficient revenues to cover the costs
of implementing strategies.
What is a Metropolitan Planning Organization and what are its typical functions?
A Metropolitan Planning Organization (MPO) is a transportation policy-making body
made up of representatives from local government and transportation agencies with
authority and responsibility in metropolitan planning areas. Federal legislation passed
in the early 1970s required the formation of an MPO for any urbanized area (UA)
with a population greater than 50,000. MPOs were created in order to ensure that
existing and future expenditures for transportation projects and programs were based
on a continuing, cooperative, and comprehensive (3-C) planning process. Federal
3
funding for transportation projects and programs is channeled through the MPO.
Note that some MPOs are found within agencies such as Regional Planning
Organizations (RPOs), Councils of Governments (COGs), and others.
There are five core functions of an MPO:
Establish a setting: Establish and manage a fair and impartial setting for effective
regional decisionmaking in the metropolitan area.
Identify and evaluate alternative transportation improvement options: Use data and
planning methods to generate and evaluate alternatives. Planning studies and
evaluations are included in the Unified Planning Work Program or UPWP (see page 8).
Prepare and maintain a Metropolitan Transportation Plan (MTP): Develop and

update a long-range transportation plan for the metropolitan area covering a
planning horizon of at least twenty years that fosters (1) mobility and access for
people and goods, (2) efficient system performance and preservation, and (3) good
quality of life.
Develop a Transportation Improvement Program (TIP): Develop a short-range

(four-year) program of transportation improvements based on the long-range
transportation plan; the TIP should be designed to achieve the area’s goals, using
spending, regulating, operating, management, and financial tools.
Involve the public: Involve the general public and other affected constituencies in the
four essential functions listed above.
In accordance with federal regulations, the MPO is required to carry out metropolitan
transportation planning in cooperation with the state and with operators of publicly
owned transit services. The MPO approves the metropolitan transportation plan. Both
the governor and the MPO approve the TIP.
Most MPOs will not take the lead in implementing transportation projects, but will
provide an overall coordination role in planning and programming funds for projects
and operations. The MPO must involve local transportation providers in the planning
process by including transit agencies, state and local highway departments, airport
authorities, maritime operators, rail-freight operators, Amtrak, port operators, private
providers of public transportation, and others within the MPO region.
From an organizational perspective, there is no required structure for an MPO; as a

decisionmaking policy body, an MPO may be composed of:
• A policy or executive board
• Technical and citizen advisory committees
• A director and staff
MPO staff assists the MPO board by preparing documents, fostering interagency
coordination, facilitating public input and feedback, and managing the planning
4
process. The MPO staff may also provide committees with technical assessments and
evaluations of proposed transportation initiatives. The MPO staff may also engage
consultants to generate needed data.
A technical advisory committee may then provide recommendations to the board on

specific strategies or projects. An advisory committee may also provide technical
analysis, specialized knowledge, and citizen input on specific issues. It is common for
an MPO to have a Technical Advisory Committee and Citizen Advisory Committee,
and to have subcommittees on specific issues such as environmental justice, bicycle
issues, or travel demand modeling.
Those involved in metropolitan transportation planning should reach out to

stakeholders to inform them of critical issues facing their regions and provide them
with opportunities to contribute ideas and offer input. This is especially important in Air Quality Nonat-
the early and middle stages of the process, while the plan and the TIP are being tainment Area (NAA):
developed. Special attention should be paid to those groups that are A geographic region of the
United States that the EPA
underrepresented or have been underserved in terms of the expenditure of has designated as not
transportation dollars (see Part II section on Title VI/Environmental Justice). meeting the air quality
standards.
What are other responsibilities for some MPOs?

A metropolitan area’s designation as an air quality nonattainment area (NAA) or
maintenance area creates additional requirements for transportation planning.
Transportation plans, programs, and projects must conform to the state’s air quality Air Quality
plan, known as the State Implementation Plan (SIP). In nonattainment or mainte- Maintenance Area:
A geographic region of the
nance areas for air quality, the MPO is responsible for coordinating transportation
United States previously
and air quality planning. designated nonattainment
pursuant to the CAA Amend-
Areas with populations greater than 200,000 are designated transportation manage- ments of 1990 and subse-
ment areas (TMAs). TMAs must have a congestion management process (CMP) quently redesignated to
attainment subject to the
that identifies actions and strategies to reduce congestion and increase mobility
requirement to develop a
(see Part II section on CMP). In addition, TMAs have the ability to select Surface maintenance plan under
Transportation Program (STP) funded projects in consultation with the state; in section 175A of the CAA,
as amended.
other MPOs and rural areas the STP projects are selected by the state in cooperation
with the MPO or local government.
In addition to meeting federal mandates, MPOs often have extra responsibilities

under state law. For example, California’s MPOs are responsible for allocating some
non-federal transportation funds in their regions, while other states give MPOs a
shared role in growth management and land use planning.
5
What is a state DOT and what are its typical functions?

Each of the U.S. states, Puerto Rico, and the District of Columbia have an agency or
department with official transportation planning, programming, and project
implementation responsibility for that state or territory, referred to as the state DOT.
In addition to transportation planning responsibilities, these agencies may have
responsibility for the design, construction, operation, or maintenance of state
facilities for multiple modes of transportation (including air, water, and surface
transportation). State departments of transportation also work cooperatively with
tolling authorities, ports, local agencies, and special districts that own, operate, or
maintain different portions of the transportation network, or individual facilities.
Primary transportation planning functions of the state DOT:
Prepare and Maintain a Long-Range Statewide Transportation Plan: Develop and

update a long-range transportation plan for the state. Plans vary from state to state
and may be broad and policy-oriented, or may contain a specific list of projects.
Develop a Statewide Transportation Improvement Program (STIP): Develop a

program of transportation projects based on the state’s long-range transportation
plan and designed to serve the state’s goals, using spending, regulating, operating,
management, and financial tools. For metropolitan areas, the STIP incorporates the
TIP developed by the MPO.
Involve the public: Involve the general public and all of the other affected
constituencies in the essential functions listed above.
What are the relationships among the MPO, the state DOT, and other
agencies involved in transportation planning and project implementation?
Transportation planning must be cooperative because no single agency has
responsibility for the entire transportation system. For example, some roads that are
part of the Interstate Highway System (IHS) are subject to certain standards and are
usually maintained by a state DOT. Others are county arterials or city streets which are
designed, operated, and maintained by counties or local municipalities. Transit
systems are often built, operated, and maintained by a separate entity.
In metropolitan areas, the MPO is responsible for actively seeking the participation
of all relevant agencies and stakeholders in the planning process; similarly, the
state DOT is responsible for activities outside metropolitan areas. The MPO and
6
state DOT also work together. For example, a state DOT staff person may sit on the
MPO board.
The state DOT follows special requirements to document its process for consulting
with officials from local governments located outside the metropolitan area. This
process is separate and distinct from the broad public involvement process and must
be documented separately. It provides an opportunity for local officials to participate
in the development of the long-range statewide transportation plan and the Statewide
Transportation Improvement Program (STIP).
The federal government has a special government-to-government relationship with Indian

Tribal governments that is affirmed in treaties, Supreme Court decisions, and executive
orders. Federal agencies are required to consult with Indian Tribal Governments regarding
policy and regulatory matters.
State DOTs consider the needs of Indian Tribal Governments when carrying out transportation
planning, and consult with Indian Tribal Governments in development of the long-range
statewide transportation plan and the Statewide Transportation Improvement Program.
MPOs also may consider the needs of, and consult with, Indian Tribal Governments in the
development of long-range transportation plans and TIPs when the metropolitan planning
area includes Indian Tribal Lands.
Outside of the statewide and metropolitan planning processes, state DOTs and MPOs may
consult with Indian Tribal Governments when, for example, a project may affect Indian
Tribal archeological resources. For information on FTA’s Tribal Transit Program, see
www.fta.dot.gov/funding/grants/grants_financing_3553.html.
For more information on Tribal planning, see www.planning.dot.gov/tribal.asp.
7
What are key documents produced by the metropolitan and statewide

planning processes?
As illustrated in Figure 2, there are five key documents produced by the
transportation planning process:
Figure 2: Key planning products
The Unified Planning Work Program (UPWP): The UPWP lists the transportation
studies and tasks to be performed by the MPO staff or a member agency. Because the
UPWP reflects local issues and strategic priorities, the contents of UPWPs differ from
one metropolitan area to another.
The UPWP covers a one- to two-year period. It typically contains several elements:
• The planning tasks (e.g., data collection and analysis, public outreach, and
preparation of the plan and TIP), the supporting studies, and the products
that will result from these activities;
• All federally funded studies as well as all relevant state and local planning
activities conducted without federal funds;
8
• Funding sources identified for each project;
• A schedule of activities; and
• The agency responsible for each task or study.
The Metropolitan Transportation Plan (MTP) or Long-Range Transportation Plan

(LRTP): In metropolitan areas, the transportation plan is the statement of the ways
the region plans to invest in the transportation system. Per the federal regulations,
the plan shall “include both long-range and short-range program strategies/actions
that lead to the development of an integrated intermodal transportation system that
Rural Transportation:
facilitates the efficient movement of people and goods.” Information and resources
for rural transportation policy-
The plan addresses, for example: makers, planners, and stake-
holders is available from
• Policies, strategies, and projects for the future; the National Association of
Development Organizations
• A systems level approach by considering roadways, transit, nonmotorized (NADO) and the NADO
transportation, and intermodal connections; Research Foundation at
www.ruraltransportation.org.
• Projected demand for transportation services over 20 years;
• Regional land use, development, housing, and employment goals and plans;
• Cost estimates and reasonably available financial sources for operation,

maintenance, and capital investments (see Part II section on Financial
Planning and Programming); and
• Ways to preserve existing roads and facilities and make efficient use of the
existing system.
The Metropolitan Transportation Plan (MTP) and the long-range statewide trans-
portation plan must be consistent with each other. The MTP must be updated every
five years in air quality attainment areas or every four years in nonattainment or
maintenance areas.
MPOs should make special efforts to engage interested parties in the development of
the plan. Finally, in cases where a metropolitan area is designated as a nonattainment
or maintenance area, the plan must conform to the SIP for air quality (see Part II
section on Air Quality).
Transportation Improvement Program (TIP): In the TIP, the MPO identifies the
transportation projects and strategies from the MTP that it plans to undertake over
the next four years. All projects receiving federal funding must be in the TIP. The TIP
is the region’s way of allocating its limited transportation resources among the various
capital and operating needs of the area, based on a clear set of short-term
transportation priorities.
9
Under federal law, the TIP:
• Covers a minimum four-year period of investment;
• Is updated at least every four years;
• Is realistic in terms of available funding and is not just a “wish list” of projects.
This concept is known as fiscal constraint (see Part II for more information);
• Conforms with the SIP for air quality in nonattainment and maintenance areas;
• Is approved by the MPO and the governor; and
• Is incorporated directly, without change, into the Statewide Transportation

Improvement Program (STIP).
The State Planning and Research (SPR) Program is similar to the UPWP in that it lists
the transportation studies, research and tasks to be performed by the state DOT staff
or its consultants. The SPR Program contains several elements:
• The planning tasks, studies and research activities that will be conducted over a
one- to two-year period;
• Funding sources identified for each project;
• A schedule of activities; and
• The agency responsible for each task or study.
The Long-Range Statewide Transportation Plan: State DOTs must develop a long-
range statewide transportation plan. These vary from state to state; they may be
policy-oriented or may include a list of specific projects.
The statewide plan also addresses:
• Policies and strategies, or future projects;
• Projected demand for transportation services over 20 or more years;
• A systems-level approach by considering roadways, transit, nonmotorized

transportation, and intermodal connections;
• Statewide and regional land use, development, housing, natural environmental

resource and employment goals and plans;
• Cost estimates and reasonably available financial sources for operation,

maintenance, and capital investments (see Part II section on Financial
Planning); and
• Ways to preserve existing roads and facilities and make efficient use of the
existing system.
10
Statewide Transportation Improvement Program (STIP): The STIP is similar to the

TIP in that it identifies statewide priorities for transportation projects and must be
fiscally constrained. Through an established process, the state DOT solicits or
identifies projects from rural, small urban, and urbanized areas of the state. Projects
are selected for inclusion in the STIP based on adopted procedures and criteria. As
noted above, TIPs that have been developed by MPOs must be incorporated directly,
without change, into the STIP.
Under federal law and regulation, the STIP:
• Must be fiscally constrained and may include a financial plan.
• Must be approved by FHWA and FTA, along with an overall determination that
planning requirements are being met. STIP approval must be granted before
projects can proceed from the planning stage to the implementation stage.
How is federal transportation funding provided to states and metropolitan areas?

The funding for transportation plans and projects comes from a variety of sources
including the federal government, state governments, special authorities, public or
private tolls, local assessment districts, local government general fund contributions
(such as local property and sales taxes) and impact fees.
However, federal funding—transferred to the state and later distributed to metropol-

itan areas—is typically the primary funding source for major plans and projects. (See
appendix for a description of important federally aided transportation programs.)
Federal transportation funding is made available through the Federal Highway Trust
Fund and is supplemented by general funds. It is important to remember that most
FHWA sources of funding are administered by the state DOTs. The state DOT then
allocates the money to urban and rural areas based on state and local priorities and
needs. Most transit funds for urban areas are sent directly from the FTA to the transit
operator. Transit funds for rural areas are administered by the state DOT.
Federal funds are made available through a specific process:
• Authorizing Legislation: Congress enacts legislation that establishes or

continues the existing operation of a federal program or agency, including the
amount of money it anticipates to be available to spend or grant to states,
MPOs, and transit operators. Congress generally reauthorizes federal surface
transportation programs over multiple years. The amount authorized, however,
is not always the amount that ends up actually being available to spend.
• Appropriations: Each year, Congress decides on the federal budget for the next
fiscal year. As a result of the appropriation process, the amount appropriated to
11
a federal program is often less than the amount authorized for a given year and
is the actual amount available to federal agencies to spend or grant.
• Apportionment: The distribution of program funds among states and

metropolitan areas (for most transit funds) using a formula provided in law is
called an apportionment. An apportionment is usually made on the first day of
the federal fiscal year (October 1) for which the funds are authorized. At that
time, the funds are available for obligation (spending) by a state, in accordance
with an approved STIP. In many cases, the state is the designated recipient for
federal transportation funds; in some cases, transit operators are the recipient.
• Determining Eligibility: Only certain projects and activities are eligible to

receive federal transportation funding. Criteria depend on the funding source.
• Match: Most federal transportation programs require a non-federal match.

State or local governments must contribute some portion of the project cost.
This matching level is established by legislation. For many programs, the
amount the state or local governments have to contribute is 20 percent of the
capital cost for most highway and transit projects.
How is federal funding used?

There are many federal-aid transportation programs that support transportation
activities in states and metropolitan areas, each having different requirements and
program characteristics. These programs are not “cash up front” programs; rather,
eligible expenditures are reimbursed. That is, even though the authorized amounts are
“distributed” to the states, no cash is actually disbursed at this point. Instead, states are
notified that they have federal funds available for their use. Projects are approved and
work is started; then the federal government reimburses the states, MPOs, and transit
operators for costs as they are incurred, reimbursing up to the limit of the federal share.
The federal government holds funding recipients accountable for complying with all
applicable federal laws. When local governments directly oversee a federally funded
project, the state DOTs are responsible for monitoring local governments’ compliance
with federal laws.
What are flexible funds?

One important provision in federal transportation legislation allows for the use of
certain federal-aid highway program and federal transit program funds for either
highway or transit projects. This is referred to as flexible funding. “Flexible funding”
provisions were a radical departure from traditional transportation policy; federal
12
transit, highway, and safety programs formerly had very strict eligibility requirements,
and funds could not be transferred between the programs. The ability to transfer
funds (with certain restrictions) between highway and transit programs was
introduced so metropolitan areas could apply federal transportation funds to their
highest priority transportation projects.
The funds are not actually transferred from one bank account to another; rather, FHWA
and FTA confirm program-eligible expenditures and reimburse accordingly. In
urbanized areas (UAs) with populations greater than 200,000, MPOs are responsible for
considering “flexing” funds to meet local planning priorities. In areas with populations
less than 200,000, flexible funding decisions are made jointly by the MPO and the state
DOT, and the state DOT makes the flexible funding decisions in rural areas. Flexible
funding is most commonly used for FHWA’s Surface Transportation Program (STP)
and Congestion Mitigation and Air Quality Improvement (CMAQ) program, and FTA’s
Urbanized Area Formula Funds, though flexing in other programs is possible.
13
PART II: MAJOR POLICY AND PLANNING ISSUES
Although the transportation planning process is concerned primarily with the

issues facing a particular metropolitan area or state, there are many issues
common to all parts of the country. This section addresses these common
transportation topics, and provides details on several important issues facing
MPOs and states engaged in transportation planning.
Each section provides a basic understanding of the topic, discusses the role of
the MPO and state DOT as appropriate, answers questions about how the topic is
addressed in the transportation planning process, and provides resources for
additional information.
Page 15 Air Quality
Page 21 Congestion Management Process (CMP)
Page 23 Financial Planning and Programming
Page 27 Freight Movement
Page 29 Land Use and Transportation
Page 32 Performance Measures
Page 34 Planning and Environment Linkages
Page 39 Public Involvement
Page 42 Safety
Page 44 Security
Page 46 System Management and Operations (M&O)
Page 49 Technology Applications for Planning: Models, GIS, and Visualization
Page 54 Title VI/Environmental Justice (EJ)
Page 57 Transportation Asset Management
14
Air Quality
Air Quality
What is the relationship between transportation and air quality?

Usage of the transportation system is an influential factor in a region’s air quality.
Therefore, the estimated emission of pollutants from motor vehicles is a key
consideration in transportation planning. Regions that have nonattainment or
maintenance air quality status are required to ensure that emissions from
transportation investments are consistent, or in conformity with, levels set forth in
state air quality plans. Therefore, state DOTs and MPOs need to have a clear
understanding of the air quality-related transportation planning requirements.
What are the major sources of air pollution?

The air quality of an area is affected by the emission of pollutants and their
interaction with sunlight, topography, and weather patterns. Pollutants are emitted
by motor vehicle operation and a variety of other activities, including
manufacturing, use of petroleum-based products like gasoline, and even small
business activities such as dry cleaning.
Sources of air pollutant emissions can be classified as stationary, area, or mobile

sources, as shown in Figure 3.
Stationary sources include relatively large, fixed facilities such as power plants,
chemical process industries, and petroleum refineries.
Area sources are small, stationary, non-transportation sources that collectively

contribute to air pollution such as dry cleaners, gas stations, landfills, wastewater
treatment plants, and others.
Mobile sources include on-road vehicles such as cars, trucks, and buses; and off-road
sources such as trains, ships, airplanes, boats, lawnmowers, and construction equipment.
The key transportation-related pollutants are ozone and its precursors hydrocarbons
(HC) and nitrogen oxides (NOx), carbon monoxides (CO), and particulates (PM-10
or PM-2.5, particles that are smaller than 10 micros or 2.5 micron, respectively).
These pollutants emanate in part from on-road mobile sources and cannot exceed
certain specified levels in a given region.
The Clean Air Act (CAA), Title 23 and Title 49 U.S.C. requires that transportation
and air quality planning be integrated in areas designated by the U.S. Environmental
Protection Agency (EPA) as air quality nonattainment or maintenance areas. In fact,
15
Current Future*
125 Tons Stationary Sources 100 Tons

50 Tons Area Sources 30 Tons
150 Tons On-Road Mobile Sources 100 Tons
100 Tons Off-Road Mobile Sources 50 Tons
425 Tons 280 Tons
Total Reduction: 145 Tons
* Emissions reductions targets developed by a state environmental agency
Figure 3: All sources of pollution can be looked at for ways to reduce emissions and improve air quality
in nonattainment and maintenance areas, federal funding and approval for

transportation projects is only available if transportation activities are consistent with
air quality goals through the transportation conformity process. The transportation
conformity process includes a number of requirements that MPOs must meet (see
section below on transportation conformity).
The CAA requires that each state environmental agency develop a plan called a State
Implementation Plan (SIP). The SIP shows how the state will implement measures
designed to improve air quality enough to meet National Ambient Air Quality
Standards (NAAQS) for each type of air pollutant, according to the schedules
Figure 4: Transportation conformity process

16
Air Quality
included in the CAA. Pollutants are usually measured in parts per million (PPM) of
ambient air, and standards vary by type of pollutant.
For each source category (stationary, area, or mobile), the SIP assigns emission
reduction targets of the pollutant. For on-road mobile sources, the emission
reduction target is further refined into a motor vehicle emissions “budget”—
emissions limits for motor vehicle emissions sources.
Vehicle emissions reductions programs (e.g., the use of reformulated gasoline or

implementation of Inspection and Maintenance [I/M] programs), changing how we
travel (e.g., ride sharing or use of transit), or transportation projects that reduce
congestion (e.g., signal synchronization programs) can all help areas meet emission
reduction targets for on-road mobile sources. MPOs should be actively involved with
the state in setting the motor vehicle emissions budgets. Transportation officials need
to educate themselves about the options and trade-offs available to them, so they can
balance the need for transportation investment with the need to achieve healthful air.
Motor vehicle emissions budgets can be revised. However, doing so requires revising
the SIP, which can be a complicated and lengthy process. MPOs should participate in
the SIP revision process if it is undertaken.
What is the role of the MPO in air quality planning?

“Nonattainment” areas (NAA) are geographic areas that do not meet the federal
air quality standards, and maintenance areas are areas that formerly violated but Inspection and
currently meet the federal air quality standards. If no violations of air quality Maintenance
standards have been found, the area is considered to be in compliance or Programs: State programs
that require vehicles to be
attainment with federal air quality standards. inspected and repaired to
comply with specific Clean Air
An area can be designated “nonattainment” for one pollutant and in attainment Act requirements.
for another. Transportation conformity is required for all ozone, carbon
monoxide, nitrogen dioxide, and particulate matter nonattainment or
maintenance areas.
The Clean Air Act (CAA) of 1990 identifies the actions states and MPOs must Reformulated
gasoline: Gasoline blended
take to reduce emissions from on-road mobile sources in nonattainment or to burn more completely and
maintenance areas. evaporate less easily. Fewer
volatile organic compounds
The challenge for MPOs in nonattainment or maintenance areas is to decide on a (VOCs) are released into the
air, thus reducing ozone.
mix of transit and highway investments that, combined with measures such as
Inspection and Maintenance (I/M) programs or reformulated gasoline, will keep
emissions within the allowable limits for emissions from motor vehicles.
17
According to the CAA, transportation plans, TIPs, and projects cannot:
• Create new violations of the National Ambient Air Quality Standards (NAAQS);
• Increase the frequency or severity of existing violations of the standards; or
• Delay attainment of the standards.
MPOs are encouraged to participate in air quality planning and to identify

transportation strategies that will help reduce emissions from on-road mobile
sources of pollution.
Though not required, many MPOs have developed public education and
communications campaigns about the connection between transportation and air
quality; these encourage the public to make travel choices that will benefit air quality.
What is transportation conformity and how does it relate to the NAAQS?

The transportation conformity process, as illustrated in Figure 4, is a way to ensure
that transportation plans and programs meet air quality goals in order to be eligible
for federal funding and approval. Whenever a metropolitan transportation plan or
TIP is amended or updated, the MPO must comply with the conformity requirements.
What is a conformity determination and who is responsible?

Transportation conformity on transportation plans and TIPs is demonstrated when
Transportation projected regional emissions for the plan and TIP do not exceed the region’s
Control Measures
(TCMs): Transportation motor vehicle emissions budgets. A conformity determination is a finding by the
strategies that affect traffic MPO policy board, and subsequently by FHWA and FTA, that the transportation
patterns or reduce vehicle use plan and TIP meet the conformity requirements. While the MPO is ultimately
to reduce air pollutant
emissions. These may include responsible for making sure a conformity determination is made, the conformity
high-occupancy vehicle (HOV) process depends on federal, state, and local transportation and air quality agencies
lanes, provision of bicycle working together to meet the transportation conformity requirements.
facilities, ridesharing,
telecommuting, etc. Such
If transportation control measures (TCMs) are included in an approved SIP, the
actions may be included
in a SIP if needed to MPO must provide an assurance that TCMs are being implemented on schedule
demonstrate attainment of each time it updates its plan and TIP conformity. Those TCMs must be
the NAAQS.
programmed for timely implementation in the TIP.
A necessary part of the transportation and air quality planning process is

consulting with other involved agencies on critical issues and providing
opportunities for public participation. MPOs must inform the public that they are
going to make a conformity determination, make all relevant documents
reasonably available, and give adequate time to review the documents and
supporting materials.
18
Air Quality
What plans, programs, and projects are subject to transportation

conformity requirements?
The MPO’s long-range transportation plan and TIP must meet the conformity
requirements. This includes all projects that are expected to be funded or that will
require an approval by FHWA/FTA at any point during the life of the plan or TIP.
Also, any regionally significant projects (as defined by the conformity rule), even
those that are not federally funded or approved, must be included in the regional
emissions analysis of the transportation plan and TIP. Regionally significant
projects include, at a minimum, all principal arterial highways and all fixed- Regionally significant
projects: Regionally
guideway transit facilities.
significant projects serve
regional transportation needs
Finally, certain projects in carbon monoxide and particulates nonattainment and
such as access to and from
maintenance areas must be assessed for expected localized concentrations (“hot the major activity centers in
spots”) of carbon monoxide and particulates and for comparison to the natural the region, and would
normally be included in the
ambient air quality standards.
modeling of a metropolitan
area’s transportation
network. These projects
How frequently must a transportation conformity determination be made and include, at a minimum, all
principal arterial highways
what happens if the MPO cannot make a conformity determination on time? and all fixed-guideway transit
facilities.
A conformity determination must be made on the transportation plan and TIP at
least once every four years. Each time the MPO updates or amends its
transportation plan or its TIP (except for administrative modifications), a
conformity determination is required. A conformity determination is also required
not more than 24 months after a SIP or a SIP revision is approved or found
adequate by EPA.
What happens if the MPO cannot make a conformity determination on time?

If an MPO cannot make a conformity determination according to applicable
deadlines, it will have a grace period of 12 months after the deadline is missed
before conformity will lapse. During the grace period transportation projects from
the previously conforming plan and TIP may continue to be eligible for funding.
However, no changes may be made to those documents without re-establishing
conformity. If conformity has not been re-established after the 12 month grace
period, the transportation conformity status for the area goes into “lapse.” During
a conformity lapse, FTA and FHWA funds can only be spent on exempt projects,
such as safety projects and certain public transportation projects, TCMs from an
approved SIP, and project phases that were authorized by FHWA and FTA prior to
the lapse.
19
What funding is available for air quality improvement programs and projects?
Many types of federal-aid funding may be used to improve air quality. One type of
funding, the Congestion Mitigation and Air Quality Improvement(CMAQ)
Conformity in
Non-Metropolitan program funds, are designated specifically for this purpose. Under the CMAQ
Areas: A number of program, state DOTs receive funding based on the severity of pollution and their
non-metropolitan areas are
population in ozone and carbon monoxide nonattainment or maintenance areas
also being included in the
urban area designation though all states receive some funding. State DOTs and MPOs can use CMAQ
or being designated by funds for transportation projects that reduce emissions in nonattainment and
themselves. Generally, MPOs
maintenance areas.
and the state DOT work
cooperatively on the regional
emissions analysis in areas
that are included in an urban
area designation. Isolated What types of projects are funded by the CMAQ program?
rural areas often lack
CMAQ programs fund transportation projects that reduce emissions of ozone
professional air quality and
transportation planning staff precursors, carbon monoxide, and particulate matter. Many projects also help to
and may rely on the expertise reduce congestion, which is another key goal of the program. Typical projects
of state DOT staff in
include support for transit, traffic flow improvements (including high-occupancy
addressing conformity issues.
vehicle [HOV] lanes, intelligent transportation systems [ITS], and signal timing),
shared ride and carpooling services, and diesel engine retrofits.
Who decides which projects receive CMAQ funding?

Decisions must be coordinated through the MPO planning process, and are made
collaboratively by the state DOT and MPO subject to federal eligibility guidelines.
These guidelines are quite flexible, in order to promote innovation.
Additional sources of information:

For basic information about transportation conformity,
see www.fhwa.dot.gov/environment/conform.htm
For FHWA’s Transportation Conformity Reference Guide,

see www.fhwa.dot.gov/environment/conformity
For a basic explanation of CMAQ, policy guidance, and brochures about the
CMAQ program, see www.fhwa.dot.gov/environment/cmaqpgs
For consumer-oriented tips from the U.S. Department of Energy on energy

efficiency and renewable energy, see www.eere.energy.gov/cleancities
20
Congestion Management Process (CMP)
Congestion Management Process (CMP)

What is the CMP?
The congestion management process (CMP) is a way of systematically considering
congestion-related issues using a set of technical tools, and basing evaluations on a
discrete set of locally determined performance measures. A CMP provides for the
systematic review of performance of multimodal transportation systems in larger
metropolitan areas and identification of strategies to address congestion through the
use of “management” strategies focused on both the use and operation of facilities
and services.
What are the requirements for the CMP?

A CMP is required in metropolitan areas with a population greater than 200,000, or
Transportation Management Areas (TMAs), as well as in urbanized areas that have
requested designation as a TMA. The CMP is intended to address congestion through
a process that provides for effective management and operations (M&O), based on
cooperatively developed travel demand reduction and operational management
strategies. Even if a metropolitan area is not a TMA or in nonattainment status, the CMP
represents good practice in monitoring, assessing, and resolving congestion issues in
any MPO. The CMP establishes a rigorous method of identifying and evaluating
transportation improvement strategies, including both operations and capital projects.
How is the CMP valuable to the MPO?

A well-designed CMP should help the MPO to:
• Develop alternative strategies to mitigate congestion;
• Determine the cause of congestion;
• Identify congested locations;
• Evaluate the potential of different strategies;
• Evaluate the impacts of previously implemented strategies; and
• Propose alternative strategies that best address the causes and impacts
of congestion.
Benefits of the CMP

The congestion management process helps MPOs and partner agencies achieve
regional operations performance objectives, and can deliver a number of collateral
21
benefits as well. By addressing congestion through a comprehensive process, the CMP

provides a framework for responding to congestion and other operational issues in a
consistent, coordinated fashion.
The CMP enables MPOs and their operating agency partners to measure perform-
ance, manage data, and analyze alternative strategies in a systematic manner. The
CMP also enables MPOs to base congestion management strategies on defined objec-
tives; this process allows regions to focus on the most congested areas and achieve
maximum benefit by targeting their investments.
How does Transportation Demand Management (TDM) relate to the CMP?

Transportation Demand Management (TDM) is any action or set of actions designed
to influence the intensity, timing, and distribution of transportation demand, in order
to reduce traffic congestion or enhance mobility. Such actions can include offering
commuters alternative transportation modes or services, providing incentives to travel
on these modes or at non-congested hours, providing opportunities to link or “chain”
trips together, and incorporating growth management or traffic impact policies into
local development decisions.
TDM strategies are part of the toolbox of actions available to transportation planners
for solving transportation problems. As part of the congestion management process,
TDM actions are among the strategies that can reduce congestion or enhance mobility.

For more on the relationship between the congestion management process and
planning, see http://plan4operations.dot.gov/congestion.htm
22
Financial Planning and Programming

What are the sources of transportation funds?
Transportation funds are generated from a number of sources, including income tax,
sales tax, tolls, bonds, and state, local, and federal excise taxes on various fuels, state
infrastructure banks (SIBs), and credit assistance sources. Each state decides which
mix of funds is best suited to carry out particular projects.
Federal funds are authorized by Congress for the U.S. Department of Transporta-
tion (DOT), which allocates funds into various programs before redirecting those
funds to the states. Some primary examples of these programs include the Surface
Transportation Program (STP) (which includes enhancement and safety funds),
the Federal Lands Highway Program and the Congestion Mitigation and Air
Quality Improvement (CMAQ) Program. FTA oversees the allocation of federal
transit funds, which generally fall into two major categories: capital grants for
transit operators that are apportioned to areas by national formula, and transit cap-
ital investment grants that are awarded on a “discretionary” basis, as determined by
DOT on the basis of a series of evaluation criteria. Each of these programs has spe-
cific eligibility requirements, although there is quite a bit of flexibility in legislation
that allows funds to be shifted among some programs, or expands eligibility
requirements (see Part I for more information).
Federal legislation also provides formula funds to support planning studies and report
preparation for the transportation planning process through FHWA’s State Planning
and Research Funds (SPR) and Metropolitan Planning Funds (PL), and through
FTA’s Section 5305. These planning funds generally make up a large portion of the
state or MPO budget for conducting necessary studies and for developing transporta-
tion plans, STIPs, TIPs and other planning documents.
What is financial planning?

Financial planning takes a long-range look at how transportation investments are
funded, and at the possible sources of funds. State DOTs, MPOs, and public trans-
portation operators must consider funding needs over both the 20-year period of the
long-range transportation plan and the 4-year period of TIPs and STIPs. In the LRSTP
and the MTP, state DOTs may and MPOs must develop a financial plan that identifies
funding sources for needed investments, and demonstrates the reasonably reliable
means to maintain and operate the existing federally funded transportation system.
23
What is financial programming?

Financial programming is different from financial planning because programming
involves identifying fund sources and implementation timing for specific projects in
the Statewide Transportation Improvement Program (STIP) and metropolitan Trans-
portation Improvement Program (TIP), which must cover a period of at least four
years and be updated at least every four years. Programming also includes notifying
FHWA and FTA of the sources of the funds that will likely be used to support each
individual transportation project.
How does financial planning support preparation of transportation plans?

“Fiscal Contraint:
A demonstration of sufficient The metropolitan transportation plan, which has a 20-year planning horizon, must
funds (federal, state, local, include a financial plan that estimates how much funding will be needed to imple-
and private) to implement
ment recommended improvements, as well as operate and maintain the system as a
proposed transportation
system improvements, as well whole, over the life of the plan. This includes information on how the MPO reason-
as to operate and maintain ably expects to fund the projects included in the plan, including anticipated revenues
the entire system, through the
from FHWA and FTA, state government, regional or local sources, the private sector,
comparison of revenues and
costs.” Source: Overview Of and user charges. The metropolitan transportation plan must demonstrate that there
Current Practices In Revenue is a balance between the expected revenue sources for transportation investments and
Forecasting And Cost
the estimated costs of the projects and programs described in the plan. In other
Estimation For Transportation
Plans And Programs. words, a metropolitan plan must be fiscally (or financially) constrained.
The long-range statewide plan, under federal requirements, may be a “strategic plan
that may or may not contain a listing of recommended projects”; a financial plan is
optional. The long-range statewide transportation plan may include some or all of the
financial elements commonly found in a typical metropolitan transportation financial
plan (as the state DOT finds appropriate or necessary.) It does not need to demon-
strate fiscal constraint.
How do state DOTs, MPOs and public transportation operators know how
Proposed funding
much money is going to be available?
sources must be
“reasonably” expected to Federal surface transportation legislation requires that the MPO, the state DOT, and
be available. For example, if
the public transit agency cooperatively develop revenue forecasts. These forecasts
voters approved a sales tax
increase three times in a help agencies determine how much funding is likely to be available for transportation
row, anticipated funding projects in their respective areas. Forecasts are based on trends from existing and
from a future vote may
potential funding sources such as the gas tax or bond measures.
be reasonable.
A financial plan could assume that the amount of available federal funding will
remain constant over the first five years of the plan, and then escalate at a rate equal
to inflation or the Consumer Price Index (CPI). It could also assume that state
gasoline taxes dedicated to transportation will be increased every five years by a
certain amount based on past trends. Further, the transportation plan might assume
24
a new revenue source, such as a local sales tax within an MPO region; in such a case,
the MPO must demonstrate that there is reason to believe such a new source will be
Amendments and
available, and should identify strategies it can use to help achieve that goal. Administrative
Modifications:
Regardless of how financial assumptions and forecasts are developed, all forecasts in There are many factors that
the financial plan must be shown in “year of expenditure” dollars based on reasonable can require adjustments in
inflation factors. In addition, the outer years of the financial plan may consist of transportation project
schedules and budgets, such
ranges for both revenues and total project costs. As always, the high and low end of as changes in engineering
the ranges must be based on reasonable assumptions. practices, environmental
issues, contracting issues,
and project readiness. Thus,
it is common to make
How are funds programmed? revisions to the STIP or TIP;
these revisions can include
Each state must submit a STIP to FHWA and FTA for review and approval at least
amendments or administra-
every four years for review and approval. The STIP includes all the projects planned tive modifications.
for implementation with the funds expected from FHWA and FTA for a four-year
If an MPO wants to amend a
period, as well as all regionally significant projects which require action by FHWA or
project in its TIP, this will also
FTA or that are located in a nonattainment or maintenance area, regardless of the necessitate amendment of
funding source. The STIP also includes each MPO’s TIP, and all of the projects the STIP. A major revision is
an “amendment,” while a
included in the first four years of that TIP. Both the STIP and the TIP must be fiscally
minor revision is an
constrained. “administrative modification.”
Amendments require public
review and comment,
demonstration of fiscal
Programming a project for funding in the STIP constraint (except for
long-range statewide
• Through an established process, the state solicits or identifies projects from
transportation plans), and a
rural, small urban, and urbanized areas of the state. conformity determination (for
metropolitan transportation
• The state selects projects for inclusion in the STIP based on adopted plans and TIPs in non-
procedures and criteria. attainment and maintenance
areas).” Administrative
• The STIP must be fiscally constrained; however, a financial plan is optional. modifications allow minor
changes without such actions.
• The FHWA/FTA must approve the STIP before STIP projects can proceed to
implementation.
• Amendments to the TIP can be common given the frequent changes in

engineering practices, environmental issues, contracting issues, project readiness,
and other factors that can require adjustments to project schedules and budgets.

For a handy overview of the FHWA’s activities, including a guide to the agency’s
programs, core business units, and service business units,
see www.fhwa.dot.gov/programs.html
25
For useful links and information about all of FTA’s funding programs and activities,
see www.fta.dot.gov/funding
For a complete list of federally aided transportation programs,

see www.fhwa.dot.gov/federalaid/projects.cfm
For a complete list of FHWA discretionary programs,

see www.fhwa.dot.gov/discretionary/proginfo.cfm
For FHWA and FTA flexible funding guidance,

see www.fhwa.dot.gov/hep/flexfund.htm
26
Freight Movement
Freight Movement
What is the role of freight movement in transportation?
The movement of freight is an important part of a fully functioning transportation
system. The efficient movement of freight within and through a region is critically
important to industry, retail, agriculture, international trade, and terminal operators.
Metropolitan areas (especially ports), with their air cargo airports, intermodal freight
yards, large trucking terminals, and shipyards, are especially affected by freight
movement issues.
Examples of intermodal freight projects include bridge replacements, road widening,

port and rail access improvements, terminal facility enhancements, grade separations
for highway and rail, and providing connections to air cargo and new infrastructure.
What is the role of the MPO and the state DOT in freight transportation planning?
The state DOT and the MPO are responsible for making sure that freight movement is
considered in the transportation planning process. Federal legislation calls for the
statewide and metropolitan planning processes to include reasonable opportunity for
the public and interested parties, including specifically “freight shippers” and
“providers of freight transportation services,” to participate in the development of plans
and programs.
Many state DOTs and MPOs have systematically incorporated freight movement issues
into their planning activities, for example by:
• Defining those elements of a metropolitan area’s transportation system that are

critical for efficient movement of freight.
• Identifying ways to measure system performance in terms of freight movement.
• Developing freight-oriented data collection and modeling to identify problems

and potential solutions.
• Creating freight movement advisory committees to identify important

bottlenecks in the freight network.
What funding is available for freight planning and project implementation?

State DOTs and MPOs can use planning funds for freight planning, and can dedicate
funds for specific project implementation. Funding of specific freight projects must
27
meet federal eligibility requirements for the specific funding source used. Projects that
provide improved access to terminals or ports can be included in the federally funded
transportation improvement program.
In those cases where freight investment projects can directly bring about reductions in
pollutant emissions, Congestion Mitigation and Air Quality Improvement (CMAQ)
program funds can also be used to support those projects.
What are some freight-transport tactics that transportation decisionmakers

might consider?
• Truck restrictions (such as peak period bans, route diversions, noise ordinances,
and hazardous materials route restrictions)
• Road design and construction (such as improved entry/exit ramps and merges,
and capacity or safety improvements)
• Road pricing (such as peak period permits, freeway permits, and peak period tolls)
• Fleet management (such as automatic vehicle location/routing, voluntary off-

peak operations, and driver training and management)
• Traffic engineering (such as lane design restrictions, wider lanes, variable

message signs, and speed restrictions)
• Shipper/receiver actions (such as voluntary and mandatory off-peak operations)
• Incident management (such as automated detection and site and area

surveillance/communications)
• Inspection/enforcement (such as automated surveillance, urban truck

inspections/enforcement)
• Information management (such as highway advisory radio, traffic information)

For FHWA’s guide to freight planning, including guidelines, case studies,
and a manual, see www.fhwa.dot.gov/freightplanning
For a guide to financing freight transportation improvements,

see www.ops.fhwa.dot.gov/freight/freight_analysis/financing.htm
28
Land Use and Transportation

What is the relationship between land use and transportation?
Transportation’s purpose is moving people and goods from one place to another, but
transportation systems also affect community character, the natural and human
environment, and economic development patterns. A transportation system can
improve the economy, shape development patterns, and influence quality of life and
the natural environment.
Land use and transportation are symbiotic: development density and location influence
regional travel patterns, and, in turn, the degree of access provided by the
transportation system can influence land use and development trends. Urban or
community design can facilitate alternative travel modes. For example, a connected
system of streets with higher residential densities and a mix of land uses can facilitate
travel by foot, bicycle, and public transportation, in addition to automobile. Conversely,
dispersed land development patterns may facilitate vehicular travel and reduce the
viability of other travel modes.
What is the role of the state DOT and the MPO in land use and transportation?
The state DOT and MPO role and level of involvement in land use decisionmaking
varies according to state and local legislation and policies. However, state DOTs and
MPOs are responsible for consultation with state and local agencies responsible for land
use management; comparing transportation planning efforts with land use plans, maps
and inventories; and using current land use estimates and assumptions when updating
planning products.
The metropolitan and statewide transportation planning processes are designed to

promote consistency between transportation improvements and state and local planned
growth and economic development patterns.
What are the requirements for considering land use and economic
development in the transportation planning process?
Updates to long-range statewide and metropolitan transportation plans must be
reviewed for validity and consistency with current and forecasted transportation and
land use conditions and trends. The transportation plan updates should be based on
the latest available estimates and assumptions for population, land use and develop-
ment, travel, employment, congestion, and economic activity. And, to promote the
highest level of consistency between land use and transportation plans, it is advisable
for the planning staff responsible for that planning to hold meetings and share infor-
mation on a continuing basis.
29
Activities intended to stimulate economic development can affect the transportation

network, and, in turn, the transportation network can affect economic development.
Transportation decisionmakers can ensure the continued economic vitality of the
region, state, and nation by appropriately planning for the many different uses of the
transportation system, such as freight movement.
Policymakers should ask what effects proposed investments would have on economic
development and on future transportation needs:
• Can the transportation system accommodate the increased growth that

proposed development might bring?
• How can transportation funding support economic growth while balancing

other transportation priorities?
What are some innovative approaches for better integrating

land use and transportation?
Increasing recognition of the importance of integrating land use and transportation
has led to the development of new approaches in planning. Two of the many possibilities
include context sensitive solutions (CSS) and Transit-Oriented Development (TOD).
What are context sensitive solutions (CSS)?

CSS is an approach that considers the total context within which a transportation
improvement project will exist. A CSS approach requires that transportation planning
take a broad view and consider the interactions between transportation systems and
facilities, and tailor them to local area human and natural environments. The goal is
to develop solutions that are acceptable to a variety of parties, relevant to their needs
and perspectives—consistent with the “context” of the setting. CSS is a collaborative,
interdisciplinary approach that involves all stakeholders to develop a transportation
facility that fits its physical setting and preserves scenic, aesthetic, historic, and envi-
ronmental resources, while maintaining safety and mobility.
What are Transit-Oriented Development and joint development?

Transit-Oriented Development (TOD) is defined as compact, mixed-use development
near transit facilities and high-quality walking environments, typically leveraging
transit infrastructure to promote economic development. By enhancing the attractive-
ness of transportation alternatives, TOD boosts transit ridership and reduces traffic
congestion, while creating a sense of community and place.
Joint Development is a project-specific application of TOD, taking place on, above, or

adjacent to transit agency property. It involves the common use of property for transit
and non-transit, typically private sector commercial, purposes. Typical joint develop-
30
ment arrangements are ground leases and operation-cost sharing, usually occurring at
transit stations or terminals surrounded by a mix of office, commercial, and institu-
tional land uses. To be eligible for federal funding, joint development projects must
be related physically or functionally to public transportation, and must dedicate a fair
share of the commercially derived revenue for public transportation.
Both TOD and joint development projects may be planned, designed, and imple-
mented by local government, transit operators, Metropolitan Planning Organizations,
and states.
What is the role of the MPO in Transit-Oriented Development

and joint development?
All joint development and transit-oriented development projects with components
involving federal funds must have those components approved by the MPO for inclu-
sion in the metropolitan transportation plan and the fiscally constrained TIP and
STIP. MPOs can play lead roles in developing and promoting transit-supportive land
use policies, as well as disseminating information on these policies to the public and
private sector. In addition, a growing number of MPOs have a TOD expert on staff
and have policies and programs that support these projects.

For FHWA’s Planning Tools for Linking Land Use and Transportation,
see www.fhwa.dot.gov/planning/ppasg.htm
“Transit-Oriented Development: State of the Practice, and Future Benefits; Transit-

Oriented Development in the United States: Experiences, Challenges, and Prospects”
provides a comprehensive assessment of the state of the practice and the benefits of
transit-oriented development (TOD) and joint development throughout the United
States. TCRP H-27 TRB’s Transit Cooperative Research Program (TCRP) Report 102
see onlinepubs.trb.org/onlinepubs/tcrp/tcrp_rpt_102.pdf
For FTA’s overview of the TCRP study, “Transit-Oriented Development: State of the
Practice, and Future Benefits; Transit-Oriented Development in the United States:
Experiences, Challenges, and Prospects,”
see www.fta.dot.gov/planning/programs/planning_environment_6932.html
For “lessons learned” and successful practices in Transit-oriented Development,

see www.fta.dot.gov/documents/TOD_Lessons_Learned_12_21.pdf
For information on how FTA grantees may use FTA financial assistance for joint
development activities that incorporate private investment or enhance economic
development, see www.fta.dot.gov/planning/programs/planning_environment_6935.html
31
Performance Measures
What are performance measures?
Performance measures demonstrate how well the transportation system is doing its job
of meeting public goals and expectations of the transportation network. Some methods
used to measure performance include tracking average speeds and crash rates. Many
states and metropolitan areas monitor how close they are to achieving specific goals,
such as accessibility to key regional population, employment, cultural, and recreational
centers, the mobility of disadvantaged populations, levels of air quality, and the health
of the economy, by using performance measures.
Measuring performance is a way to gauge the impacts of the decisionmaking process on

the transportation system. Performance measures aim to answer questions about
whether the performance of the transportation system (or economy, air quality, etc.) is
getting better or worse over time; and whether transportation investments are
correlated or linked to stated goals and outcomes.
Examples of performance measures include:
• Accessibility: Percent population within “x” minutes of “y” percent of

employment sites; whether special populations such as the elderly are able to use
transportation; whether transportation services provide access for underserved
populations to employment sites; also, whether services are ADA compliant.
• Mobility: Average travel time from origin to destination; change in average

travel time for specific origin-destination points; average trip length;
percentage of trips per mode (known as mode split); time lost to congestion;
transfer time between modes; percent on-time transit performance.
• Economic development: Jobs created and new housing starts in an area as a

result of new transportation facilities; new businesses opening along major
routes; percent of region’s unemployed who cite lack of transportation as
principal barrier to employment; economic cost of time lost to congestion.
• Quality of life: Environmental and resource consumption; tons of pollution

generated; fuel consumption per vehicle mile traveled; decrease in wetlands;
changes in air quality, land use, etc.
• Safety: Number of crash incidents or economic costs of crashes.
32
Performance Measures
What is the role of the state DOT and MPO in defining and using
performance measures?
Through the statewide and metropolitan transportation planning process, the state
DOT and the MPO, respectively, can each take a leadership role in creating
performance measures that provide information critical to regional and local
decisionmakers. This can begin through interaction with stakeholders and the public
for the purpose of identifying vision(s) of the community for its future, followed by
translation of those visions into goals and measurable objectives. Then, performance
measures are developed to use in tracking progress toward attainment of those goals.
Because performance measures strongly influence the goals and objectives of the
planning process, their development and ongoing support can become part of ongoing
planning activities. Development of transportation system performance measures
should be coordinated with and informed by the public involvement program.

For A Guidebook for Performance-Based Transportation Planning, NCHRP Report 446.
Transportation Research Board: Washington, D.C., 2000
see www.trb.org/TRBNet/ProjectDisplay.asp?ProjectID=901
For Transportation Research Board’s Conference Proceedings #36, Performance Measures to

Improve Transportation Systems, 2004
see onlinepubs.trb.org/onlinepubs/conf/CP36.pdf
For Transportation Research Board’s Transportation Research Circular E-C073 –

Performance Measure to Improve Transportation Planning Practice, 2005
see onlinepubs.trb.org/onlinepubs/circulars/ec073.pdf
33
Planning and Environment Linkages

Why link transportation planning to environmental processes?
State and local agencies can achieve significant benefits by incorporating environmental
and community values into transportation decisions early in planning and carrying
these considerations through project development and delivery. Benefits include:
• Relationship-building: By enhancing inter-agency participation and coordination

efforts and procedures, transportation planning agencies can establish more
positive working relationships with resource agencies and the public.
• Process efficiencies: Improvements to inter-agency relationships may help to

resolve differences on key issues as transportation programs and projects move
from planning to design and implementation. Conducting some analysis at the
planning stage can reduce duplication of work, leading to reductions in costs
and time requirements, thus moving through the project development process
faster and with fewer issues.
• On-the-ground outcomes: When transportation agencies conduct planning

activities equipped with information about resource considerations and in
coordination with resource agencies and the public, they are better able to
Figure 5: Planning and environmental linkages in decisionmaking processes are depicted by the arrows
showing the relationship between transportation planning and environment planning, as well as the
relationship between systems planning and project level decisions.
34
conceive transportation programs and projects that effectively serve the

community’s transportation needs. This can reduce negative impacts, and
incorporates more effective environmental stewardship.
The first type concerns comparing transportation plans with natural and cultural
resource information. For these comparisons, state DOTs and MPOs are to consult
with state and local agencies responsible for land use management, natural resources,
environmental protection, conservation, and historic preservation. In addition, state
DOTs must consult with tribal agencies. Consultations are to consist of the following,
as appropriate:
• Comparison of transportation plans with state conservation plans or maps, if

available; and
• Comparison of transportation plans to inventories of natural or historic

resources, if available.
The second type of required consultation concerns mitigation activities. Federal law
mandates that long-range transportation plans must include a discussion of types of
potential environmental mitigation activities and potential areas to carry out these
activities, including activities that may have the greatest potential to restore and
maintain the environmental functions affected by the plan. This discussion is to be
developed in consultation with federal, state, and tribal wildlife, land management,
and regulatory agencies.
Sustainability and Transportation:
The concept of sustainability is accommodating the needs of the present population without
compromising the ability of future generations to meet their own needs. As applied to the
transportation sector, planning for sustainability can incorporate a variety of strategies to
conserve natural resources (including use of clean fuels), encourage modes other than single-
occupant vehicles, and promote travel reduction strategies.
Current trends in transportation contribute to unsustainable conditions, including greenhouse

gas emissions, energy insecurity, congestion, and ecological impacts. Although widespread
uncertainty exists about how to address the goal of a sustainable transportation system,
transportation officials and stakeholders are now recognizing that their decisions have long-
term implications and impacts and are working on how to prepare metropolitan and statewide
transportation plans and programs accordingly. Attaining a sustainable transportation system
will require action by the public sector, private companies, and individual citizens.
35
How is NEPA related to the transportation planning process?

The NEPA process is designed to promote environmentally sound transportation
decisions and cannot be used as a justification for decisions already made. Therefore, a
coordinated approach between planning and project development contributes to the
selection of transportation investments that reflect community needs, have benefited
from an active public involvement process and are sensitive to the environment. The
first stages of the NEPA process—development of project purpose and need—should
build upon the transportation needs identified during planning and will be the basis for
the final selection of an alternative for design and construction.
Another direct link between NEPA and transportation planning is the requirement that
a project be included in a conforming plan and TIP before it can be advanced; a major
change in the project scope and design as it evolves during the NEPA process triggers a
conformity and plan reassessment. In addition, other information gathered during the
planning process can inform the project development studies required under NEPA.
Data collection related to environmental features, analysis of projected transportation
system usage, and attendant impacts on environmental quality can provide important
information to the NEPA process.
How are transportation planning studies integrated into environmental and

NEPA analysis?
FHWA and FTA must be able to stand behind the overall soundness and credibility of
analysis conducted and decisions made during the transportation planning process if
these decisions are incorporated into a NEPA document, directly or by reference.
Transportation planning processes and their products are greatly improved when
implemented through a comprehensive, cooperative, and continuous approach — the
“3-C planning principles.” The results of transportation studies or planning results
should be: based on transportation planning factors established by federal law; reflected
by a credible and clearly articulated planning rationale; founded in reliable data; and
developed through planning processes that meet FHWA and FTA statutory and
regulatory requirements.
At a minimum, a robust scoping and early coordination process (which explains to

federal and state environmental, regulatory, and resource agencies and the public the
information and analysis used to develop the planning products, how the purpose and
need was developed and refined, and how the design concept and scope were
determined) plays a critical role in leading to informed transportation decisions by
FHWA and FTA on the suitability of transportation planning information, analysis,
documents, and decisions for use in the NEPA process. Planning analysis needs to be
up-to-date and should adequately support improvements in statewide and/or
metropolitan long-range plans. Results from the planning process must be documented
36 in a form that can be appended to the NEPA document or incorporated by reference to
materials that are readily available, and a clear connection between the decisions made
in planning and those to be made during NEPA and project development must be
explained to the public and other participants involved in scoping.
What is NEPA and how does it apply to the transportation project

development process?
The National Environmental Policy Act of 1969 (NEPA) established a national policy to promote
the protection of the environment in the actions and programs of federal agencies.
The FHWA and FTA act as lead federal agencies, and are responsible for implementing the NEPA
process and working with state and local project sponsors during transportation project
development. The FHWA and FTA NEPA process is designed to assist transportation officials in
making project decisions that balance engineering and transportation needs with the
consideration of social, economic, and environmental factors. This process allows for
involvement and input from the public, interest groups, resource agencies, and local
governments. The FHWA and FTA NEPA process is used as an “umbrella” for compliance with
over 40 environmental laws, regulations, and executive orders and provides an integrated
approach to addressing impacts to the human and natural environment from transportation
projects.
What NEPA documentation is required?
A good decision based on an understanding of environmental impacts is the objective of the

NEPA process and a thorough analysis of these impacts as presented in the NEPA document is
essential in meeting that objective. NEPA documentation serves several purposes: to disclose
the analysis of benefits and impacts to the human and natural environment; to get input from
the public and other stakeholders on the proposed project and the environmental
consequences; and to inform the final decision.
Different types of transportation projects will have varying degrees of complexity and
potential to affect the environment. Under NEPA, the required environmental document
depends on the degree of impact. FHWA and FTA, in coordination with the project sponsor,
prepare one or more of the following documents for a proposed project:
• Notice of Intent (NOI) – a notice that an environmental impact statement (EIS) will be
prepared and considered.
• Categorical Exclusions (CE) – apply to projects that do not have a significant impact on
the human and natural environment.
• Environmental Assessment (EA) – prepared for projects where it is not clearly known if
there will be significant environmental impacts. If the analysis in the EA indicates the
proposed project will have significant environmental impacts, an EIS is prepared.
• Finding of No Significant Impact (FONSI) – if there is not a significant impact, this

conclusion is documented in a separate decision document, the FONSI.
37
• Environmental Impact Statement (EIS) – prepared for projects that have a significant
impact on the human and natural environment. Draft EIS (DEIS) and Final EIS (FEIS)
documents, with input from the public, provide a full description of the proposed project,
the existing environment, and the analysis of the beneficial and adverse impacts of all
reasonable alternatives.
• Record of Decision (ROD) – presents the selected transportation decision analyzed in an

EIS, the basis for that decision, and the environmental commitments, if any, to mitigate
project impacts to the human and natural environment.
Regardless of the type of NEPA document prepared, final selection or approval of a proposed
project alternative by FHWA and FTA allows the project to be eligible for federal funding of
subsequent project activities such as final design, right-of-way acquisition, and construction.

FHWA’s website on Planning and Environment Linkages offers a wealth of
information developed and compiled by the FHWA and its partners to assist in
strengthening planning and environment linkages.
See www.environment.fhwa.dot.gov/integ/index.asp#benefits
NEPA is dedicated to the open exchange of knowledge, information, and ideas

concerning NEPA and other environmental issues. The site allows anyone interested
in NEPA and related topics to contribute thoughts and ideas in an open forum.
See nepa.fhwa.dot.gov/ReNepa/ReNepa.nsf/home
The FHWA provides information on environmental streamlining — the term for a

new cooperative approach to implementing transportation projects that brings
together timely delivery and the protection and enhancement of the environment. It
was first enacted into legislation for highway and transit projects with the
Transportation Equity Act for the 21st Century (TEA-21).
See www.environment.fhwa.dot.gov/strmlng
The FTA provides links to laws, regulations, and guidance affecting environmental
analysis and review of public transportation projects.
See www.fta.dot.gov/planning/planning_environment_5222.html
38
Public Involvement
Public Involvement
What is the role of public involvement in developing transportation policies,

programs, and projects?
Public involvement is integral to good transportation planning. Without meaningful
public participation, there is a risk of making poor decisions, or decisions that have
unintended negative consequences. With it, it is possible to make a lasting
contribution to an area’s quality of life. Public involvement is more than an agency
requirement and more than a means of fulfilling a statutory obligation. Meaningful
public participation is central to good decisionmaking.
The fundamental objective of public involvement programs is to ensure that the

concerns and issues of everyone with a stake in transportation decisions are identified
and addressed in the development of the policies, programs, and projects being
proposed in their communities.
Who is the public?

The public includes anyone who resides, has an interest in, or does business in a given
area potentially affected by transportation decisions. This includes both individuals and
organized groups. It is also important to provide opportunities for the participation of all
private and public providers of transportation services, including, but not limited to, the
trucking and rail freight industries, rail passenger industry, taxicab operators, and all
transit and paratransit service operators. Finally, those persons traditionally underserved
by existing transportation systems, such as low-income or minority households (see Paratransit:
A variety of smaller, often
section on Title VI/Environmental Justice) and the elderly, should be encouraged to
flexibly scheduled and routed
participate in the transportation decisionmaking process. transportation services using
low-capacity vehicles, such as
Federal, state, and local agencies with an interest in transportation issues play a vans, which operate within
particularly important role in the development of transportation projects. Many of normal urban transit corridors
or rural areas. These services
those agencies have a statutory responsibility to review environmental documents or usually serve the needs of
issue permits for transportation projects. FHWA and FTA encourage MPOs and state people that standard mass
DOTs to aggressively pursue improved communication and collaboration with these transit services would serve
with difficulty, or not at all.
partners, beginning early in the transportation planning process, to identify and Often, the patrons include
address their concerns. the elderly and people
with disabilities.
What is the role of the MPO in implementing public involvement processes?

The MPO is responsible for actively involving all affected parties in an open,
cooperative, and collaborative process that provides meaningful opportunities to
influence transportation decisions. Transportation has a profound influence on the
39
lives of people. Decisionmakers must consider fully the social, economic, and
environmental consequences of their actions, and assure the public that
transportation programs support adopted land use plans and community values.
MPOs must develop and document, in consultation with interested parties, a

participation plan that details strategies for incorporating visualization techniques,
using electronic media, holding public meetings, and responding to public input,
among other things.
What is the role of the state Department of Transportation in the public

participation process?
Similar to the role of MPOs in metropolitan areas, the state must have a documented
process for engaging the public with the transportation planning process outside of
metropolitan areas. The state DOT also should coordinate with MPOs for state
projects within metropolitan areas.
What are the indicators of an effective public participation process?

A well-informed public can contribute meaningful input to transportation decisions
through a broad array of involvement opportunities at all stages of decisionmaking.
Useful elements in planning for effective public involvement are:
• Clearly defined purpose and objectives for initiating a public dialogue on

transportation issues;
• Specific identification of the affected public and other stakeholder groups with
respect to the plans and programs under development;
• Identification of techniques for engaging the public in the process;
• Notification procedures that effectively target affected groups;
• Methods and measures for evaluating the effectiveness of the public

involvement program;
• Education and assistance techniques, which result in an accurate and full

public understanding of transportation issues;
• Follow-through by the MPO demonstrating that decisionmakers seriously

considered public input; and
• Solicitation of feedback from the public and stakeholders on the effectiveness

of the public involvement process.
40
Public Involvement

The FHWA explores many transportation issues of great concern to the public, and
provides more information to MPOs seeking guidance on involving the public.
See www.fhwa.dot.gov/environment/pubinv2.htm
Public Involvement Techniques for Transportation Decision-making, FHWA and FTA, 1996,
Publication No. FHWA-PD-96-031.
The FTA funds innovative demonstration projects through its Public

Transportation Participation Pilot (PTP) Program.
See www.fta.dot.gov/planning/programs/planning_environment_5925.html
For the Transportation Research Board’s Public Involvement Committee

website, see www.trbpi.com
For more TPCB Technical Public Involvement Resources,

see www.planning.dot.gov/technical.asp#pub
For TPCB Peer program reports on current practices and issues in public
involvement, see www.planning.dot.gov/peer.asp#pi
41
Safety
What makes safety an important factor in transportation planning?
Over the past three decades, transportation fatality rates have declined in relationship
to system usage, due in large part to safer cars, tougher police enforcement, and
increasing use of seat belts, air bags, and child safety seats. However, in many accident
categories, the actual number of crashes has increased because more people are using
the transportation system. In addition, there are large economic costs associated with
crashes, incurred both by those involved and by other travelers affected by the traffic
delay caused by crashes. Maintaining high performance in transportation safety
requires seamless coordination of activities and funding among multiple partners and
a transportation planning process that can coordinate and direct funding toward the
highest safety priorities.
What are the roles of the MPO and state DOT in transportation safety?
Transportation planning takes safety considerations into account by identifying the
most effective strategies for reducing crashes. This identification process may include
analyzing crash data to determine the emphasis to be given to critical focus areas.
Several types of focus areas have been identified, known as the ‘four Es’ of
transportation safety: engineering, enforcement, education, and emergency services.
The crash data might help identify which focus areas should receive funding priority
for improving safety in the region. Crash data can also identify high-accident locations
to be given high priority for improvements. Many MPOs also participate in safety
campaigns that educate the public on good safety practices.
Another key role of MPO and state DOT planners is to coordinate any planned safety-
related transportation improvements with their safety partners, including those
responsible for the state’s Strategic Highway Safety Plan, the state Governor’s Office of
Highway Safety, law enforcement agencies, and emergency service providers. Input
from these partners can improve the safety elements of planning processes and
ensure strong collaboration.
Finally, many state DOTs and local transportation agencies have developed safety
management systems that monitor accident locations in their jurisdictions over time.
The MPO can participate in data collection for these systems or coordinate the
development of a regional safety management system.
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Safety
State DOTs are required, after consultation with public and private safety stakeholders, to
develop and implement a Strategic Highway Safety Plan (SHSP). The purpose of an SHSP is to
identify critical highway safety problems and opportunities within the state. The SHSP provides
a comprehensive framework for reducing highway fatalities and serious injuries on all major
roadways, enabling the state to make strategic data-driven safety investment decisions. The
metropolitan and statewide transportation planning processes should be consistent with the
SHSP. In addition, the metropolitan and statewide transportation plans should include sections
on safety that list projects and strategies from the SHSP.
What are the planning requirements for incorporating safety into

transportation planning?
Improving the safety of the transportation system is one of the planning factors that
federal legislation explicitly requires to be considered in the transportation planning
process. Short- and long-range plans should have a safety element as part of the plan,
and when projects and strategies are evaluated for possible inclusion in the
metropolitan transportation plan and the TIP, safety should be a factor in their rating.

The FHWA Office of Safety provides information on ways to improve safety on
roadways. For more information, see safety.fhwa.dot.gov
For information from the FTA on safety and security of mass transit systems,
see transit-safety.volpe.dot.gov
The FHWA, FTA, the Transportation Research Board, and other organizations created
this website on transportation safety planning. See tsp.trb.org
For Bureau of Transportation Statistics (BTS) annual statistical reports on crash

statistics, see www.bts.gov
For the Institute of Transportation Engineers’ discussion paper, “The Development of

the Safer Transportation Network Planning Process,” see www.ite.org
The FHWA Office of Planning maintains a website on Transportation Safety Planning.

See www.fhwa.dot.gov/planning/SCP
43
Security
What is transportation security?
Transportation system security can be defined as the freedom from intentional
harm and tampering that affects both motorized and nonmotorized travelers, and
may also include natural disasters. Security goes beyond safety and includes the
planning to prevent, manage, or respond to threats of a region and its
transportation system and users.
Why should states and MPOs consider security in the transportation

planning process?
Awareness of both man-made and natural security concerns has increased in recent
years due to events like September 11, 2001 and Hurricanes Katrina and Rita. The
vulnerability of the transportation system and its use in emergency evacuations are
issues receiving new attention. Transportation planners have been encouraged to
focus on security interrelated issues and to initiate the consideration of security within
their transportation planning and programming activities.
What is the role of the state DOT and the MPO in transportation security?
State DOTs and MPOs may be in a unique position to foster interagency coordination
between the different modes of transportation, governmental agencies, groups
focused on security, and others. State DOTs and regional transportation agencies have
created homeland security plans for emergency evacuation, contingency measures,
and communications interoperability. Additionally, state DOTs and MPOs can support
programs and fund projects that enhance secure travel for all transportation system
users. As the entities that plan and select projects for implementation, the state DOT
and MPO can ensure that whatever criterion is used to select and advance projects in
a particular region recognizes, highlights, and promotes projects that address
transportation security.
What are the planning requirements for considering security in

Federal requirements include security as a factor to be considered in transportation
planning processes at both the metropolitan and statewide levels, stating that the
planning process should provide for consideration and implementation of projects,
strategies, and services that will “increase the security of the transportation system
for motorized and nonmotorized users.”
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Security
How do you demonstrate consideration of security in the transportation

planning process?
Consideration of security in the planning process may be documented in key
planning documents such as the UPWP, the State Planning and Research Program,
the long-range transportation plan, STIP or TIP or may be part of a standalone study.
Federally funded or regionally significant transportation security should be included
in the metropolitan long-range plan, STIP, or TIP. Other activities might include
documenting conversations and coordination with groups focused on security or
including transportation security as a project selection criterion.

For “The Role of the Metropolitan Organization (MPO) in Preparing for Security
Incidents and Transportation System Response” by Michael D. Meyer, Ph.D., P.E.,
see www.planning.dot.gov/Documents/Securitypaper.htm
For NCHRP: Report 525 Surface Transportation Security, Volume 3, Incorporating

Security into the Transportation Planning Process, Transportation Research Board,
see onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_525v3.pdf
For FHWA’s Emergency Transportation Operations website, see

ops.fhwa.dot.gov/OpsSecurity/
GAO Report 04-1009, “Homeland Security: Effective Regional Coordination Can

Enhance Emergency Preparedness;” see www.gao.gov/new.items/d041009.pdf
Federal Transit Administration, The Public Transportation System Security

and Emergency Preparedness Planning Guide (2003)
see transit-safety.volpe.dot.gov/Publications/Default.asp
NCHRP 525, “Incorporating Security into the Transportation Planning Process;” see
trb.org/news/blurb_detail.asp?id=5028
For “Security Considerations in Transportation Planning” from Steven Polzin at the

University of South Florida’s Center for Urban Transportation Research,
see www.cutr.usf.edu/pubs/Security%20paper%200402.doc
45
System Management and Operations (M&O)

What is system management and operations?
System management and operations (M&O) analyzes regional transportation as an
interconnected set of services and systems to improve system performance through
better management and use of the multimodal transportation network.
M&O is an integrated approach to optimize the performance of existing infrastructure

through the implementation of multimodal, intermodal, and often cross-jurisdictional
systems, services and projects. This includes regional operations collaboration and
coordination activities between transportation and public safety agencies. M&O
strategies aim at improving service efficiency, enhancing public safety and security,
reducing traveler delays, and improving access to information for travelers.
In identifying possible system M&O improvements, it is important to understand

what system users want in terms of performance. Some examples of user-oriented
performance measures are average trip travel time, length of delay, and reliability of
Reliability of trip trip making. These are important indicators of how well the transportation system is
making: The level of
reliability of the time it takes
operating.
to make a specific trip; for
example, one’s daily
commute, or the time it takes
for goods to move between What are the requirements for considering management and operations in
shipper and receiver. the transportation planning process?
Federal requirements call for consideration of M&O in the metropolitan and
statewide transportation planning processes. For instance, “Promote efficient system
management and operation” is one planning factor.
Legislation also states that transportation plans shall include operations and
management strategies to improve the performance of the existing transportation system
to relieve vehicular congestion and maximize the mobility of people and goods.
What are some examples of system management and operations tools?

Intelligent Transportation Systems (ITS) are technological tools that can help to
facilitate better system M&O. For example, roadway video surveillance allows better
responses to changes in network conditions, such as clearing an accident faster to
keep traffic moving. ITS technologies can also be used to collect real-time data, like
travel speeds, which can be used to monitor system performance over time.
Other examples of system M&O tools include:
• Metropolitan traffic management centers;
• Traffic signal coordination;

46
System Management and Operations (M&O)
• Freeway/arterial corridor management;
• Incident management programs;
• Preferential treatment for transit/ride-shares;
• Special event traffic management;
• Emergency management strategies;
• Pricing of transportation services;
• Customer information services;
• ITS applications for transit;
• Traveler information; and
• Commercial vehicle programs.
These M&O strategies and tools focus on optimizing the performance of the
transportation system. It is essential to mention that M&O does not include
traditional maintenance activities, such as lawn cutting, pothole repair, or resurfacing.
What is the role of the MPO in enhancing system management

and operations?
Identifying M&O strategies and benefits: When developing the transportation plan,
the MPO should consider using M&O strategies as one method of improving
mobility for constituents. Those programs and projects should then be given high
priority in the TIP.
Coordinating all agencies involved: Many different agencies assist in system

management and operations in a typical metropolitan area. The MPO can provide
regional leadership in establishing a decisionmaking framework by bringing parties
together, by helping to determine how M&O decisions will be made in an area, and
by asking for input on M&O issues as part of the planning process. This allows
agencies to develop M&O strategies in common.
Develop performance measures: The MPO should develop system performance

measures that take into account the desires and expectations of transportation
users, and can be used to decide how funds should be spent. The MPO can then
work to improve the system through future plans and TIPs.
What is the role of the state DOT in system management and operations?
Since states have the responsibility for operations and management of significant
portions of the transportation network, they play a major role in considering
47
operations and management strategies in the planning process. State DOTs also have
a major role both outside and within metropolitan areas supporting coordination
between the operations and planning functions.

For the FHWA and FTA Planning for Systems Management and Operation website,
see plan4operations.dot.gov
For the FHWA’s operations website, with information on travel management,

transportation operations, freight management, and ITS, see www.ops.fhwa.dot.gov
For the U.S. Department of Transportation’s official ITS site, see www.its.dot.gov
See also A Toolbox for Alleviating Traffic Congestion and Enhancing Mobility. Institute of
Transportation Engineers: Washington, D.C.,1997.
See also Federal Highway Administration, Managing Our Congested Streets and Highways,
U.S. DOT, 2001.
For more information from ITS America, a nonprofit organization that acts as a
clearinghouse for information on ITS, see www.itsa.org
48
Technology Applications for Planning: Models, GIS, and Visualization
Technology Applications for Planning:

Models, GIS, and Visualization
Better planning tools are increasingly available to help MPOs understand the
impact of their decisions on the transportation network and the natural and human
environment. A number of decision support tools are available to communities to
help them tackle land use, community development, economic development, and
environmental protection challenges. Geographic Information Systems (GIS)-based
decision support and visualization tools assist planners with conveying information
to stakeholders to encourage successful community design and informed
decisionmaking. Examples of planning tools include transportation models, land
use models, GIS, GIS-based decision support tools, scenario planning models, and
satellite imagery.
What are models?

Models are simulations of the “real world” that can be used to show the impact of
changes in a metropolitan area on the transportation system (such as adding a new
road or transit line, or increases in population or employment). Travel models may be
used to test the travel impacts of changes in land use, economic development, fuel
and parking cost, and new highway or transit system capacity.
Three important ingredients are part of any model used for transportation analysis:
• Key base, or current-year characteristics of travelers and the transportation

system, described in terms of quantifiable variables (e.g., the number of
highway travel lanes, transit service highways, household size and income,
number of vehicles per household, employment patterns by type and job
classification, etc.).
• The relationship between these variables and the travel behavior of individuals
(e.g., the more automobiles per household, the greater the number of
automobile trips per household). This relationship is most often expressed in
mathematical terms.
• Future-year forecasts of key traveler and transportation system characteristics.

This relationship is the same for all individuals and is constant over time.
What is the four-step modeling process?

For the past 40 years, transportation professionals have used a four-step approach in
modeling transportation demand. Most modeling approaches use some form of these
49
steps today. Once some understanding has been established as to what the land use,
population, and employment levels are in a study area, the four modeling steps are:
• Trip generation: Estimating the number of trips generated in a small

geographic area, called a zone, or at a particular location, and attracted to
another zone or particular location, based on the assumed relationship among
socioeconomic factors, land use characteristics, and the number of trips. Trip
generation then leads to:
• Trip distribution: Estimating the number of trips that originate in every zone in
the study area, with destinations to every other zone. The result is a trip table
that is used in:
• Mode split: Estimating, for the number of trips predicted between each origin
and destination, the number of trips made via each type of mode that is
available for that trip. Thus, “x” percent are likely to drive alone, “y” percent
are likely to take transit, “z” percent are likely to ride-share, etc. Mode split
leads to:
• Network assignment: Estimating the number of trips via a particular mode that
will take specific paths through a road or transit network. The end result, when
all trips are assigned to a network, is an estimate of the total number of trips
that will use each link in the network. When compared to the capacity of this
link, planners can forecast the level of congestion that will occur at that
location. This becomes the basis for assessing the performance of the
transportation system.
What are other types of models?

Four-step models are commonly used to predict the demand for transportation services.
Transportation planners and engineers also use other types of models to analyze and
evaluate the performance of transportation systems and resulting impacts.
Land use models are used to forecast future development patterns as well as the
potential for proposed transportation improvement to “induce” new or accelerated
land development in particular areas. The output of land use models typically
provides the input to the trip generation step of the travel forecasting model.
Emissions models use the output of travel forecasting models—simulated highway

travel as expressed by vehicle miles traveled—in projecting the tons of key
pollutants emitted in the exhaust of vehicular trips. Estimates of the tons of
emissions of hydrocarbons, nitrogen oxides, and particulates from emissions models
provide important information for use in air quality analysis.
50
Several metropolitan areas, such as New York, San Francisco, and Columbus, Ohio
have implemented advanced tour or activity-based models, which model travel
differently from trip-based models. Tour-based models, for instance, keep track of
travel activity throughout the day and can assemble multiple trip legs (chained trips)
into tours. For example, a parent may leave work, pick up the children at day care,
and stop at the grocery store on the way home. These separate trips would be linked
together into a tour and, when taken as a whole, the modeled travel behavior of this
parent would likely be different than if all of these trips were considered separately.
An activity- or tour-based model is able to show the extent to which mixed-use

neighborhood residents tend to reduce their automobile use by taking transit,
walking, or bicycling, or accomplishing several activities in one automobile trip in
cases where mixed-use development places retail, entertainment, and office
locations close together. The modeling approach, more disaggregated in time,
space, and activities, is also better suited to analyzing other complex policy
alternatives such as variable pricing, flexible working hours, nonmotorized travel,
and induced demand.
What should decisionmakers consider when presented with

the results of models?
Results of a model are still only estimates—they cannot provide a definitive picture of
what will happen in the future. Much like economic projections, transportation
forecasts are greatly affected by the long-term economic health and attractiveness of
the region, by population changes, and by the individual behavior of each person
using the transportation system, which no one can predict.
Model results are only as good as the data that go into the model. MPOs must use the
most current socioeconomic and census data available, especially if the region is
growing rapidly. MPOs should make every effort to explain the information and
assumptions that went into creating the model in plain, understandable terms. Finally,
it is important that the models periodically be validated against observed conditions.
And, the state, MPO, and transit operators should have a schedule for periodic
re-survey of the usage and performance patterns of their systems (e.g. transit onboard
and roadside origin/destination surveys).
What are visualization techniques, and how are they used in

Visualization techniques are methods used by states and MPOs to communicate
information used in the development of transportation plans and programs to the
51
public, elected and appointed officials, and other stakeholders in a clear and easily
accessible format. This could involve use of one or more of a broad range of
information dissemination tools, including maps, pictures, or displays, with the
intention of promoting improved understanding about existing or proposed
transportation plans, policies, and programs.
Visualization techniques can be used through the process, including in developing

planning documents, on websites, and at public outreach and information sessions.
Through visual imagery, the complex character of proposed transportation plans,
policies, and programs can be portrayed at appropriate scales and from different
points of view, providing the public and decisionmakers with a clear idea of the
proposals and likely impacts to the human and natural environment. In addition to
their use in public involvement, visualization techniques are increasingly used as tools
for improved decisionmaking for context sensitive solutions.
What is a Geographic Information System (GIS)? How can state DOTs, MPOs
and public transportation providers use GIS during transportation planning?
A Geographic Information System (GIS) is a collection of computer software,
hardware, and data used to store, manipulate, analyze, and present geographically
referenced information. A GIS can be used both for analysis and as the basis for many
of the visualization techniques described above. In transportation planning, GIS is
typically used to compile and “overlay” multiple sets of data linked to particular
geographic locations. Using GIS, transportation professionals can holistically and
efficiently view multiple items of interest about a particular geographic area including
transportation facilities, operations, demographics, environmental and cultural
resources, public lands, and others. As an aid to environmental analysis, GISs are also
used to overlay key features of the human and natural environment for the purpose of
identifying corridors and subareas with the highest concentration of sensitive areas.
What is scenario planning and how does it use these technologies?

One use of models is in assessing the transportation impacts of alternative possible
future policy scenarios. Scenario testing, also known as scenario planning, is an
important policy analysis and public involvement tool for planners and involves
undertaking long-range strategic planning studies testing alternative sets of future-year
assumptions and engaging stakeholders and the public in reviewing the implications.
Instead of concentrating on one aspect of planning for the future, many tools used in
scenario planning estimate the impacts of people's decisions today on the land use,
transportation system, and environment of tomorrow. Additionally, these tools take into
account the interconnections between these three aspects of planning. For example, if a
change to the transportation system is proposed for an area, models can estimate its land
52
use and environmental impacts. Powerful tools provide for more comprehensive
geographic analysis and visualization using interactive analysis tools and a decision-
making framework. Scenario planning tools can be used to view, analyze, and understand
land-use alternatives and their impacts for informed decisionmaking.

Cambridge Systematics and Transmode Consultants, Multimodal Corridor and Capacity
Analysis Manual: National Cooperative Highway Research Program Report 399.
Transportation Research Board, 1998.
For the FHWA’s Travel Model Improvement Program (TMIP) see tmip.fhwa.dot.gov
See also Meyer, M. and E. Miller, Urban Transportation Planning: A Decision-Oriented

Approach. New York: McGraw Hill, 2001.
For NETC 00-6: Effective Visualization Techniques for The Public Presentation Of
Transportation Projects see www.netc.uconn.edu/pdf/netcr48_00-6.pdf
For more on TRB's work on visualization in transportation see www.trbvis.org/
For AASHTO's Visualization in Transportation: A Guide for Transportation Agencies

see cms.transportation.org/sites/design/docs/VisualizationGuideJuly2003.pdf
For TRB’s Visualization Symposium Proceedings

see www.teachamerica.com/viz/viz2006.html
For NCHRP’s Visualization in Project Development

see onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_361.pdf
For the Federal Highway Administration’s (FHWA) Office of Planning,

Environment, and Realty Executive Geographic Information System (HEPGIS)
see hepgis.fhwa.dot.gov
53
Title VI/Environmental Justice

What is Title VI/Environmental Justice?
The goal of Title VI/Environmental Justice (EJ) is to ensure that services and
benefits are fairly distributed to all people, regardless of race, national origin, or
income, and that they have access to meaningful participation. Title
VI/Environmental Justice in transportation programs is achieved through:
• Avoiding, minimizing, or mitigating disproportionately high and adverse

human health and environmental effects, including social and economic
effects, on minority and low-income populations.
• Ensuring the full and fair participation in the transportation decisionmaking

process by all potentially affected communities.
• Preventing the denial of, reduction in, or significant delay in the receipt of
benefits by minority and low-income populations.
What is the role of the state DOT and MPO in incorporating

Title VI/Environmental Justice into transportation planning?
As the agency responsible for coordinating the transportation planning process, the
state DOT or MPO must make sure that all segments of the population have been
included in the planning process.
The impact of proposed transportation investments on underserved and under

represented population groups must be part of the evaluation process. In particular,
the following questions are important in addressing Title VI/Environmental Justice
issues in the planning process:
1. How will the public participation process reach low-income and minority
communities? Specifically:
• How and where will information be disseminated?
• What information will be disseminated?
• Where and when will public meetings be held?
• At what point in the planning process do the meetings take place?
• Are other avenues being used to reach minority/low-income communities

(e.g., contacts with community leadership, community advisory boards, focus
groups, surveys, etc.)?
54
Title VI/Environmental Justice
• How will the process elicit issues of particular concern to low-income and
minority communities?
2. What statistics are being collected about minority/low-income communities, and

how are they used to assess possible inequities? Actions to take include:
• Evaluating what information is already being collected.
• Identifying what further information can and should be collected.
• Analyzing the data to identify potential inequities.
• Developing measures to verify whether there is equitable distribution of the

benefits and burdens of transportation services.
3. How are information and data incorporated into decisionmaking?

Questions to ask include:
• How is Title VI/Environmental Justice considered in creating the

transportation plan?
• How is Title VI/Environmental Justice information collected by the MPO and

relayed to officials?
• Is additional information needed to adequately consider the impacts of

transportation decisions on low-income and minority communities?
• How are the specific interests of minority and low-income populations

addressed in transportation policies, plans, and projects?
What are the regulatory foundations for Title VI/Environmental Justice?

The legal foundation for environmental justice considerations is Title VI of the Civil
Rights Act of 1964, which prohibits discrimination in any program receiving federal
assistance.
The 1969 National Environmental Policy Act (NEPA) and 23 USC 109(h) also require
that social, economic, and environmental consequences of programs be considered
when contemplating any action having federal support.
The FHWA and the FTA have jointly issued policy guidance on how Title
VI/Environmental Justice concerns can be incorporated into metropolitan
transportation planning.

For extensive information and case studies on Title VI/Environmental Justice,
including the joint FHWA/FTA policy guidance on incorporating Title
55
VI/Environmental Justice concerns into metropolitan transportation planning

see www.fhwa.dot.gov/environment/ej2.htm
For information on state DOTs responsibilities, general public responsibilities,

frequently asked questions, and an environmental justice library
see www.dotcr.ost.dot.gov/asp/ej.asp
For the Washington State Department of Transportation website which provides

information on environmental justtice analysis tools, resources and training see
www.wsdot.wa.gov/Environment/EJ/EnviroJustice.htm
56
Transportation Asset Management

What is Transportation Asset Management?
Transportation Asset Management is a strategic framework for making cost-effective
decisions about allocating resources (funding and personnel) and managing
infrastructure (physical assets such as roads, equipment, and buildings). It is based
on a process of monitoring the physical condition of assets, predicting deterioration
over time, and providing information on how to invest in order to maintain or
enhance the performance of assets over their useful life. The goals of a transporta-
tion asset management program are to minimize the life-cycle costs for managing
and maintaining transportation assets, including pavements, bridges, tunnels, rails,
and roadside features.
What is the role of the MPO in Transportation Asset Management?

MPOs should ensure that 1) their metropolitan transportation plan is comprehensive
and incorporates the transportation assets of all modes, 2) that the transportation net-
work is managed to meet both current and future demands, and 3) that expenditures
are optimized for value. Transportation asset management principles and techniques
are valuable tools that can be applied by an MPO and result in more effective decision-
making. The MPO role in a successful transportation asset management program
includes managing public investment through the transportation plan and TIP,
defining performance measures for assets through public involvement, serving as a
repository for asset data, and promoting standard data collection and technology
applications. MPOs can also educate the public and decisionmakers and work
cooperatively with stakeholders across transportation modes.
The MPO can support asset management by encouraging the collection of data and
information that helps establish priorities for improving the area’s transportation
assets. Typically, the MPO does not, on its own, develop and/or operate a transporta-
tion asset management decisionmaking framework; this is usually the responsibility of
state and local operating agencies.
What are the steps decisionmakers use in the Transportation Asset

Management process?
The following steps are typical for the Transportation Asset Management process:
1. Decisionmakers establish strategic goals and objectives for the transportation

system’s performance with performance measures being set and applied to
establish a strategy to achieve the goals.
57
2. The transportation system is inventoried, and performance data is collected and

analyzed. This information is used to determine what is needed.
3. Analytical tools and models are used to establish cost-effective long- and short-
range strategies to maximize benefit to the motoring public for dollars invested
to maximize condition at least life cycle cost to maintain and maximize system
performance. Budget allocations are developed to meet performance
expectations. The alternative choices are evaluated according to how well they
meet long-range plans, policies, and goals.
4. Decisions are made as a result of policies, performance-based goals, performance

measures, and service levels which address the agency’s strategic goals and
objectives. Decisionmakers need to take into account actual project development,
construction, and operation.
5. The entire process is annually reevaluated.
What questions should transportation decisionmakers ask as part of the

Transportation Asset Management process?
• What is our inventory of assets?
• What is the value of our assets (monetary, importance to region, other)?

What are their functions? What services do they provide?
• What are the past, current, and anticipated conditions and performance
of our assets?
• How can we preserve, maintain, or improve our assets to ensure maximum

useful life and provide acceptable service to the public?
• What financial resources are available? What is the budget? How much funding
can we expect in the future?
• What are our choices for investing our transportation budget? What are the
costs and benefits of such choices?
• Which choice, or combination of choices, is optimal?
• What are the consequences of not maintaining our assets? How can we
communicate those consequences?

Asset Management: Advancing the State of the Art into the 21st Century Through Public-Private
Dialogue, FHWA, Report No. FHWA-RD-97-046. For information on obtaining a copy of
this report, see www.fhwa.dot.gov/pubstats.html
58
For FHWA’s Asset Management Primer, December 1999,

see www.fhwa.dot.gov/infrastructure/asstmgmt/amprimer.pdf
For more about the mission of FHWA’s Office of Asset Management, and useful links,
see www.fhwa.dot.gov/infrastructure/asstmgmt
For Transportation Planning and Asset Management, FHWA, 2006,

See www.fhwa.dot.gov/infrastructure/asstmgmt/tpamb.cfm
59
APPENDICES
Recent Surface Transportation Reauthorizations

Date signed into law Title of Bill
1991 The Intermodal Surface Transportation Efficiency Act (ISTEA)
1995 National Highway System Designation Act
1998 The Transportation Equity Act for the 21st Century (TEA-21)
2005 Safe, Accountable, Flexible, Efficient Transportation Equity Act:
A Legacy for Users (SAFETEA-LU)
60
Appendix: Acronyms
Acronyms
3-C Continuing, Cooperative and MPO Metropolitan Planning Organization

Comprehensive Planning Process
MTP Metropolitan Transportation Plan
AASHTO American Association of State Highway
and Transportation Officials NAA Nonattainment Area
BTS Bureau of Transportation Statistics NAAQS National Ambient Air Quality Standards
CAA Clean Air Act as amended in 1990 NADO National Association of Development Organizations
CE Categorical Exclusions NEPA National Environmental Policy Act of 1969
CMAQ Congestion Mitigation and Air Quality NHS National Highway System
improvement program
NOI Notice of Intent
CMP congestion management process
NOx nitrogen oxide
CO carbon monoxide
PL Planning Funds
COG Council of Governments
PM particulate matter
CPI Consumer Price Index
PPM parts per million
CSS context sensitive solutions
ROD Record of Decision
DEIS Draft Environmental Impact Statement
RPO Regional Planning Organization
DOT Department of Transportation
SAFETEA-LU Safe, Accountable, Flexible, Efficient
EA Environmental Assessment Transportation Equity Act: A Legacy for Users
EIS Environmental Impact Statement SDOT state DOT
EJ Environmental Justice SHSP Strategic Highway Safety Plan
EPA Environmental Protection Agency SIB State Infrastructure Bank
FAA Federal Aviation Administration SIP State Implementation Plan
FEIS Final Environmental Impact Statement SOV single-occupancy vehicle
FHWA Federal Highway Administration SPR State Planning and Research Funds
FONSI Finding of No Significant Impact STIP Statewide Transportation Improvement Program
FTA Federal Transit Administration STP Surface Transportation Program
FY fiscal year TCM Transportation Control Measure
GIS Geographic Information Systems TDM Transportation Demand Management
HC hydrocarbons TEA-21 Transportation Equity Act for the 21st Century
HOV high-occupancy vehicle TIFIA Transportation Infrastructure Finance
and Innovation Act of 1998
I/M Inspection and Maintenance
TIP Transportation Improvement Program
IHS Interstate Highway System
TMA Transportation Management Area
IM Interstate Maintenance
TMIP Travel Model Improvement Program
ISTEA Intermodal Surface Transportation
Efficiency Act of 1991 TOD Transit-Oriented Development
ITS Intelligent Transportation Systems TRB Transportation Research Board
LRSTP Long-Range Statewide Transportation Plan UA urbanized area
LRTP Long-Range Transportation Plan UPWP Unified Planning Work Program
M&O management and operations VOC Volatile Organic Compound
61
Glossary
A C tion system performance and finds alternative
ways to alleviate congestion and enhance the
Administrative Modification Capacity
mobility of people and goods, to levels that
A minor revision to a long-range statewide A transportation facility’s ability to accommo-
meet state and local needs.
transportation or metropolitan transportation date a moving stream of people or vehicles in a
given time period.
plan, TIP, or STIP that includes minor changes Congestion Mitigation and Air Quality
to project/project phase costs, minor changes Improvement (CMAQ) Program
to funding sources of previously included proj- Capital Program Funds
A federal-aid funding program created under
ects, and minor changes to project/project Financial assistance from the transit major cap-
ISTEA. Directs funding to projects that con-
phase initiation dates. An administrative modifi- ital programs of 49 U.S.C. Section 5309. This
tribute to meeting national air quality stan-
cation is a revision that does not require public program enables the Secretary of Transporta-
dards. CMAQ funds generally may not be used
review and comment, redemonstration of fiscal tion to make discretionary capital grants and
for projects that result in the construction of
constraint, or a conformity determination (in loans to finance public transportation projects
new capacity available to SOVs (single-occu-
nonattainment and maintenance areas). divided among fixed guideway (rail) modern-
pancy vehicles).
ization; construction of new fixed guideway sys-
tems and extensions to fixed guideway systems;
Amendment
and replacement, rehabilitation, and purchase
D
A revision to a long-range statewide or metro- Department of Transportation (DOT) When
politan transportation plan, TIP, or STIP, that of buses and rented equipment, and construc-
used alone, indicates the U.S. Department of
involves major change to a project included in a tion of bus-related facilities.
Transportation. In conjunction with a place
MTP, TIP, or STIP, including the addition or name, indicates state, city, or county transporta-
deletion of a project or a major change in Carbon Monoxide (CO) tion agency (e.g., Illinois DOT, Los Angeles
project cost, project/project phase initiation A colorless, odorless, tasteless gas formed in DOT).
dates, or a major change in design concept or large part by incomplete combustion of fuel.
design scope (e.g., changing project termini or Human activities (i.e., transportation or indus-
trial processes) are largely the source for CO
E
the number of through traffic lanes). Changes Emissions Budget
to projects that are included only for illustrative emissions.
The part of the State Implementation Plan
purposes do not require an amendment. An (SIP) that identifies the allowable emissions
amendment is a revision that requires public Clean Air Act (CAA)
levels, mandated by the National Ambient Air
review and comment, redemonstration of fiscal The original Clean Air Act was passed in 1963,
Quality Standards (NAAQS), for certain pollu-
constraint, or a conformity determination (for but the national air pollution control program
tants emitted from mobile, stationary, and area
MTPs and TIPs involving “non-exempt” projects is actually based on the 1970 revision of the law.
sources. The emissions levels are used for
in nonattainment and maintenance areas). In The Clean Air Act as amended in 1990 made
meeting emission reduction milestones, attain-
the context of a long-range statewide trans- major changes and contains the most far-
ment, or maintenance demonstrations.
portation plan, an amendment is a revision reaching revisions of the 1970 law.
approved by the state in accordance with its Environmental Justice (EJ)
public involvement process. Conformity (Air Quality)
Environmental justice assures that services and
A CAA (42 U.S.C. 7506[c]) requirement that
benefits allow for meaningful participation and
Area Sources ensures that federal funding and approval are
are fairly distributed to avoid discrimination.
Small stationary and non-transportation pollu- given to transportation plans, programs and
(See also “Title VI.”)
tion sources that are too small and/or projects that are consistent with the air quality
numerous to be included as point sources but goals established by a State Implementation
Environmental Mitigation Activities
may collectively contribute significantly to air Plan (SIP). Conformity, to the purpose of the
Strategies, policies, programs, actions, and activ-
pollution (e.g., dry cleaners). SIP, means that transportation activities will not
ities that, over time, will serve to avoid, mini-
cause new air quality violations, worsen existing
mize, or compensate for (by replacing or
Attainment Area violations, or delay timely attainment of the
providing substitute resources) the impacts of
Any geographic area in which levels of a given National Ambient Air Quality Standards
to or disruption of elements of the human and
criteria air pollutant (e.g., ozone, carbon (NAAQS). The transportation conformity rule
natural environment associated with the imple-
monoxide, PM10, PM2.5, and nitrogen oxide) (40 CRF part 93) sets forth policy, criteria, and
mentation of of a long-range statewide trans-
meet the health-based National Ambient Air procedures for demonstrating and assuring
portation plan or MTP. The human and natural
Quality Standards (NAAQS) for that pollutant. conformity of transportation activities.
environment includes, for example, neighbor-
An area may be an attainment area for one pol- hoods and communities, homes and businesses,
lutant and a nonattainment area for others. A Congestion Management Process (CMP)
cultural resources, parks and recreation areas,
“maintenance area” (see definition below) is A systematic approach required in transporta-
wetlands and water sources, forested and other
not considered an attainment area for trans- tion management areas (TMAs) that provides
natural areas, agricultural areas, endangered
portation planning purposes. for effective management and operation, based
and threatened species, and the ambient air.
on a cooperatively developed and implemented
The environmental mitigation strategies and
metropolitan-wide strategy of new and existing
activities are intended to be regional in scope,
transportation facilities eligible for funding
and may not necessarily address potential
under title 23 U.S.C. and title 49 U.S.C.
project-level impacts.
through the use of operational management
strategies. Provides information on transporta-
62
Appendix: Glossary
constraint applies to each program year. Addi-

Environmental Protection Agency (EPA)
The federal regulatory agency responsible for tionally, projects in air quality nonattainment
L
Land Use
administering and enforcing federal environ- and maintenance areas can be included in the
Refers to the manner in which portions of
mental laws, including the Clean Air Act, the first two years of the TIP and STIP only if funds
land or the structures on them are used (or
Clean Water Act, the Endangered Species Act, are “available” or “committed.”
designated for use in a plan), i.e., commercial,
and others.
residential, retail, industrial, etc.
Formula Capital Grants
F Federal transit funds for transit operators, allo-
Long-Range Statewide
cated by FTA, and used to purchase rolling
Federal Highway Administration (FHWA) Transportation Plan (LRSTP)
A branch of the U.S. Department of Trans- stock (e.g., buses and trains) as well as design
The official, statewide, multimodal transporta-
portation that administers the federal-aid and construct facilities (e.g., shelters, transfer
tion plan covering no less than 20 years devel-
highway program, providing financial assistance centers, etc.).
to states to construct and improve highways, oped through the statewide transportation
planning processes.
urban and rural roads, and bridges. The FHWA
also administers the Federal Lands Highway
G
Program, including survey, design, and Geographic Information System (GIS) Long-Range Transportation Plan (LRTP)
construction of forest highway system roads, Computerized data management system A document resulting from regional or
parkways and park roads, Indian reservation designed to capture, store, retrieve, analyze, statewide collaboration and consensus on a
roads, defense access roads, and other Federal and display geographically referenced informa- region’s or state’s transportation system, and
Lands roads. tion. serving as the defining vision for the region’s
or state’s transportation systems and services.
Federal Transit Administration (FTA) H In metropolitan areas, this is the official multi-
A branch of the U.S. Department of Trans-
High-Occupancy Vehicle (HOV) modal transportation plan addressing no
portation that administers federal funding to
Vehicles carrying two or more people. The less than a 20-year planning horizon that is
transportation authorities, local governments,
number that constitutes an HOV for the pur- developed, adopted, and updated by the MPO
and states to support a variety of locally
poses of HOV highway lanes may be designated through the metropolitan transportation
planned, constructed, and operated public
differently by different transportation agencies. planning process.
transportation systems throughout the U.S.,
including buses, subways, light rail, commuter
rail, streetcars, monorail, passenger ferry boats, I M
inclined railways, and people movers. Intelligent Transportation Systems (ITS) Maintenance Area
Electronics, photonics, communications, or Any geographic region of the United States that
Financial Plan information processing used singly or in combi- the EPA previously designated as a nonattain-
The documentation required to be included nation to improve the efficiency or safety of a ment area for one or more pollutants pursuant
with a MTP and TIP (optional for the long- surface transportation system. The National ITS to the CAA Amendments of 1990, and subse-
range statewide transportation plan and STIP) architecture is a blueprint for the coordinated quently redesignated as an attainment area sub-
that demonstrates the consistency between development of ITS technologies in the U.S., ject to the requirement to develop a
reasonably available and projected sources providing a systems framework to guide the maintenance plan under section 175A of the
of federal, state, local, and private revenues planning and deployment of ITS infrastructure. CAA, as amended.
and the costs of implementing the proposed
transportation system improvements. Intermodal Metropolitan Planning Area
The ability to connect, and connections between, The geographic area determined by agreement
Financial Programming differing modes of transportation. between the metropolitan planning organiza-
A short-term commitment of funds to specific tion (MPO) for the area and the Governor, in
projects identified in both the regional and the Intermodal Surface Transportation Efficiency which the metropolitan transportation plan-
statewide Transportation Improvement Pro- Act of 1991 (ISTEA) ning process is carried out.
gram. Legislative initiative by the U.S. Congress that
restructured and authorized federal funding Metropolitan Planning Organization (MPO)
Fiscal Constraint for transportation programs; provided for an The policy board of an organization created and
Making sure that a given program or project increased role for regional planning commis- designed to carry out the metropolitan trans-
can reasonably expect to receive funding within sions/MPOs in funding decisions; and required portation planning process for urbanized areas
the time allotted for its implementation. The comprehensive regional and statewide long- with populations greater than 50,000, and desig-
MTP, TIP, and STIP must include sufficient term transportation plans. nated by local officials and the Governor of the
financial information for demonstrating that state.
projects in the MTP, TIP, and STIP can be Interstate Highway System (IHS)
implemented using committed, available, or The specially designated system of highways, Metropolitan Transportation Plan (MTP)
reasonably available revenue sources, with begun in 1956, which connects the principal The official multimodal transportation plan
reasonable assurance that that the federally metropolitan areas, cities, and industrial cen- addressing no less than a 20-year planning
supported transportation system is being ters of the United States. Also connects the U.S. horizon that is developed, adopted and
adequately operated and maintained. For the to internationally significant routes in Canada updated by the MPO through the metropolitan
TIP and the STIP, financial constraint/fiscal and Mexico. transportation planning process.
63
Glossary
Mode
A specific form of transportation, such as auto-
P S
Particulate Matter (PM-10 and SAFETEA-LU
mobile, subway, bus, rail, air, bicycle, or foot.
PM 2.5) The Safe, Accountable, Flexible, Efficient
Particulate matter consists of airborne solid par- Transportation Equity Act: A Legacy for Users
N ticles and liquid droplets. Particulate matter (SAFETEA-LU). SAFETEA-LU authorized the
National Ambient Air Quality may be in the form of fly ash, soot, dust, fog, federal surface transportation programs for
Standards (NAAQS) fumes, etc. These particles are classified as highways, highway safety, and transit for the
Federal standards that set allowable concentra- “coarse” if they are smaller than 10 microns, or 5-year period 2005-2009.
tions and exposure limits for various pollutants. “fine” if they are smaller than 2.5 microns.
The EPA established these standards pursuant Coarse airborne particles are produced during Sources (Pollution)
to section 109 of the CAA. Air quality standards grinding operations, or from the physical dis- Refers to the origin of air contaminants. Can be
have been established for the following six cri- turbance of dust by natural air turbulence point (coming from a defined site) or non-
teria pollutants: ozone (or smog), carbon processes, such as wind. Fine particles can be a point (coming from many diffuse sources). Sta-
monoxide, particulate matter, nitrogen dioxide, by-product of fossil fuel combustion, such as tionary sources include relatively large, fixed
lead, and sulfur dioxide. diesel and bus engines. Fine particles can easily facilities such as power plants, chemical process
reach remote lung areas, and their presence in industries, and petroleum refineries. Area
National Environmental Policy Act of 1969 the lungs is linked to serious respiratory ail- sources are small, stationary, non-transportation
(NEPA) ments such as asthma, chronic bronchitis, and sources that collectively contribute to air pollu-
Established requirements that any project using aggravated coughing. Exposure to these parti- tion, and include such sources as dry cleaners
federal funding or requiring federal approval, cles may aggravate other medical conditions and bakeries, surface coating operations, home
including transportation projects, examine the such as heart disease and emphysema and may furnaces, and crop burning. Mobile sources
effects of proposed and alternative choices on cause premature death. In the environment, include on-road vehicles such as cars, trucks,
the environment before a federal decision is particulate matter contributes to diminished and buses; and off-road sources such as trains,
made. visibility and particle deposition (soiling). ships, airplanes, boats, lawnmowers, and con-
struction equipment. Common mobile source-
Nonattainment Area (NAA) Performance Measures related pollutants are carbon monoxide (CO),
A geographic region of the United States that Indicators of how well the transportation system hydrocarbons (HC), nitrogen oxides (NOx),
has been designated by the EPA as a nonattain- is performing with regard to such measures as and particulate matter (PM-10 and PM 2.5).
ment area under section 107 of the CAA for average speed, reliability of travel, and accident
any pollutants for which an NAAQS exists, rates. Used as feedback in the decisionmaking Stakeholders
meaning that federal air quality standards are process. Individuals and organizations involved in or
not being met. affected by the transportation planning
Planning Funds (PL) process. Include federal/state/local officials,
O Primary source of funding for metropolitan MPOs, transit operators, freight
Operational and Management Strategies planning administered by the FHWA. companies, shippers, users of the transporta-
Actions and strategies aimed at improving the tion infrastructure, and the general public.
performance of existing and planned trans- Public Participation /
portation facilities to relieve congestion and Public Involvement State Implementation Plan (SIP)
maximize the safety and mobility of people and The active and meaningful involvement of the The portion (or portions) of the implementa-
goods. public in the development of transportation tion plan (as defined in section 302[q] of the
plans and programs. CAA), or most recent revision thereof, which
Ozone (03) has been approved under section 110 of the
Ozone is a colorless gas with a sweet odor. It is a R CAA, or promulgated or approved under sec-
secondary pollutant formed when VOCs and Regional Council of Governments (COG) tion 301(d) of the CAA and which implements
NOx combine in the presence of sunlight. Regional councils of governments are the relevant requirements of the CAA.
Ozone is associated with smog or haze condi- multipurpose, multijurisdictional public Although the SIP is produced by the state envi-
tions. Although the ozone in the upper atmos- organizations. Created by local governments to ronmental agency (not the MPO) to monitor,
phere protects us from harmful ultraviolet rays, respond to federal and state programs, regional control, maintain, and enforce compliance with
ground-level ozone—resulting from human councils bring together participants at multiple the NAAQS, it must also be taken into account
and natural sources—produces an unhealthy levels of government to foster regional coopera- in the transportation planning process.
environment in which to live. tion, planning and service delivery. They may
also be called planning commissions, develop- State Infrastructure Bank (SIB)
ment districts, or other names, and may or may A revolving fund mechanism for financing a
not include the structure and functions of Met- wide variety of highway and transit projects
ropolitan Planning Organizations (MPOs). through loans and credit enhancement.
SIBs are designed to complement traditional
federal-aid highway and transit grants by
providing states increased flexibility for
financing infrastructure investments.
64
Appendix: Glossary
State Planning and Research Funds (SPR) Transportation Equity Act for the 21st Century Urbanized Area (UA)
Primary source of funding for statewide long- (TEA-21) A geographic area with a population of 50,000
range planning, administered by the FHWA. Legislated in 1998, TEA-21 authorized or more, as designated by the U.S. Bureau of
approximately $217 billion in federal funding the Census.
Statewide Transportation Improvement for transportation investment for FYs 1998-
Program (STIP) 2003. Used for highway, transit, and other V
A statewide prioritized listing/program of surface transportation programs. Visualization Techniques
transportation projects covering a period of Methods used by states and MPOs in the devel-
four years that is consistent with the long-range Transportation Improvement opment of transportation plans and programs
statewide transportation plan (LRSTP), Program (TIP) with the public, elected and appointed officials,
metropolitan transportation plans (MTPs), and A prioritized listing/program of transportation and other stakeholders in a clear and easily
transportation improvement plans (TIPs), and projects covering a period of four years that is accessible format such as maps, pictures,
is required for projects to be eligible for developed by an MPO as part of the metropol- and/or other displays to promote improved
funding under title 23 U.S.C. and title 49 itan transportation planning process, consistent understanding of existing or proposed trans-
U.S.C. Chapter 53. with the metropolitan transportation plan portation plans and programs.
(MTP), and required for projects to be eligible
Surface Transportation Program (STP) for funding under title 23 U.S.C. and title 49
Federal-aid highway funding program that sup- U.S.C. Chapter 53.
ports a broad range of surface transportation
capital needs, including many roads, transit, sea Transportation Infrastructure Finance and
and airport access, vanpool, bike, and pedes- Innovation Act of 1998 (TIFIA)
trian facilities. A federal credit program under which the DOT
may provide three forms of credit assistance—
T secured (direct) loans, loan guarantees, and
Telecommuting standby lines of credit – for surface transporta-
Employment utilizing electronic communication projects of national or regional signifi-
tions (by telephone, computer, fax, etc.) with a cance. The fundamental goal is to leverage
physical office, either from home or from federal funds by attracting substantial private
another site, instead of traveling to and and non-federal co-investment in critical
working in the office. improvements to the nation's surface trans-
portation system.
Title VI
Title VI of the Civil Rights Act of 1964 prohibits Transportation Management Area (TMA)
discrimination in any program receiving federal An urbanized area with a population of 200,000
assistance. (See “Environmental Justice”) or more, as defined by the U.S. Bureau of the
Census and designated by the Secretary of
Transportation Control Measure (TCM) Transportation, or any additional area where
Any measure that is specifically identified com- TMA designation is requested by the Governor
mitted to in the applicable SIP that is either and the MPO and designated by the U.S. Secre-
one of the types listed in section 108 of the tary of Transportation.
CAA or any other measure for the purpose
of reducing emissions or concentrations of air Trust Fund
pollutants from transportation sources by A fund credited with receipts that are held in
reducing vehicle use or changing traffic flow or trust by the government and earmarked by law
congestion conditions. Notwithstanding the for use in carrying out specific purposes and
above, vehicle technology-based, fuel-based, programs in accordance with an agreement or
and maintenance-based measures that control a statute.
the emissions from vehicles under fixed traffic
conditions are not TCMs. U
Unified Planning Work Program (UPWP)
Transportation Demand A statement of work identifying the planning
Management (TDM) priorities and activities to be carried out within
Programs designed to reduce demand for a metropolitan planning area. At a minimum, a
transportation through various means, such UPWP includes a description of of the planning
as the use of public transit and of alternative work and resulting products, who will perform
work hours. the work, time frames for completing the work,
the cost of the work, and the source(s) of
funds.
65
Financing the Statewide Plan
A modified version of the following tables is found in Financing the Statewide Plan: A Guidebook, Federal
Highway Administration, November 1999: www.fhwa.dot.gov/hep10/state/04703r04.pdf. For more informa-
tion about FTA funding programs, see www.fta.dot.gov/funding.
Federal Transportation Programs and Revenue Sources

Mode Major Transportation Programs Federal Revenue Sources
Administered • Interstate Maintenance • Highway Trust Fund with funds
by FHWA • National Highway System from federal:
• Highway Bridge Program - Motor Fuel Tax (15.44 cents/gallon
• Congestion Mitigation and Air Quality of gasoline; varies for other fuel types)
Improvement (in air quality non-attainment - Truck and Trailer Tax
and maintenance areas) - Tire Tax
• Surface Transportation Program - Heavy Vehicle Use Tax
(includes transportation enhancements - Tire Tax Quality Improvement
and planning funds)
• Highway Safety Improvement Program
• National Corridor Planning and Development
and Coordinated Border Infrastructure
• High Priority (Demonstration) Projects
• Intelligent Transportation Systems
• Equity Bonus
• Federal Lands Highway Program
• National Scenic Byways Program
(discretionary for use on nationally
designated routes only)
• Recreational Trails
Administered • Major Capital (Section 5309) • Mass Transit Account of the Highway Trust
by FTA • Urbanized Area Formula (Section 5307) Fund with funds from motor fuel tax
• Other than Urbanized Area Formula (2 cents/gallon)
(Section 5311) • General Fund
• CMAQ (only when funds flexed from FHWA) • Interest
• Elderly Individuals and Persons With
Disabilities (Section 5310)
• Job Access and Reverse Commute Program(JARC)
• New Freedom Program
• Alternative Transportation in Parks
and Public Lands
• Clean Fuels Discretionary Grants
Program (Section 5308)
• Over-the-Road Bus Program
• Over-the-Road Bus Accessibility
(Rural Transportation Accessibility
Incentive Program)
Administered • Federal Airport and Airway Trust Fund, • Aviation Fuel Tax
by FAA which is the source for airport development • Air Freight Tax
grants; airport planning grants • Passenger Ticket Tax
• Airport Improvement Program (AIP), a • International Departure Tax
source that provides grants to public agencies
for the planning and development of public-
use airports that are included in the National
Plan of Integrated Airport Systems (NPIAS)
66
Appendix: Federal Fact Sheets
Mode Major Transportation Programs Federal Revenue Sources

Administered • Federal Railroad Administration Grants • General Fund
by FHWA, FRA (planning, rail service continuation,
rehabilitation, provision of substitute
service)
Administered • High-Speed Rail • Highway Trust Fund

by FRA • Amtrak • General Fund
• General Fund (relies on specific capital
appropriations)
• Passenger Fares
• Food/Beverage Revenue
Administered by • Army Corps of Engineers—Construction, • Fuel taxes paid by inland water carriers
MARAD & FHWA operation, and maintenance of waterways, • Ad valorem taxes paid by users of ports
locks and harbors • Highway Trust Fund
• Construction of Ferry Boats and
Terminal Facilities
Major Federal-Aid Highway Programs under SAFETEA-LU
Program Eligible Uses

Highway Bridge Program Replacement and rehabilitation of any public bridge.
Congestion Mitigation A wide range of projects in air quality nonattainment and maintenance
and Air Quality areas for ozone, carbon monoxide, and small particulate matter, which
reduce transportation-related emissions.
Interstate Maintenance Resurfacing, restoring, and rehabilitating routes on the IHS, but no new
capacity except HOV or auxiliary lanes in nonattainment areas.
National Highway System (NHS) Interstate routes, major urban and rural arterials, connectors to major
intermodal facilities, national defense network. Fifty percent of NHS
funds can be freely flexed to STP; 100% with U.S. DOT approval.
Surface Transportation Broad range of surface transportation capital needs, including many roads,
Program (STP) transit, sea, and airport access, vanpool, bike, and pedestrian facilities.
67
Major Federal Transit Administration Programs
Program Eligible Uses

Capital Investment Grants Section 5309 New starts or extensions to existing fixed guideway systems that comply
with CAA and ADA. Fixed guideway modernization. Clean fuel buses and
related facilities.
Clean Fuels Purchase, lease of clean fuel buses and facilities; improvements to existing
facilities to accommodate clean fuel vehicles.
Job Access and Reverse Commute Provides formula grants to support programs that support job access and
(JARC) Grants Section 5316 reverse commute services to provide transportation for low income
individuals who may live in the city core and work in suburban locations.
New Freedom Section 5317 Provides formula grants for capital and operating costs to support services
and facility improvements to address the needs of persons with disabilities
that go beyond those required by the Americans with Disabilities Act.
Other than Urbanized Areas Section Capital and operating expenditures in non-urbanized areas (under 50,000).
5311
Eligible Capital Projects include adding lifts and other accessory compo-
Over-the-Road Bus Accessibility nents. Eligible training costs include developing training materials or pro-
(Rural Transportation Accessibility viding training.
Incentive Program)
Capital assistance to organizations providing specialized services for the
Special Needs of the Elderly elderly and disabled.
and Individuals with Disabilities
Section 5310
Capital and operating expenditures. Capital and preventive maintenance;
Urbanized Areas 1% must go to transit enhancements.
Section 5307
68
Funding Transferability under SAFETEA-LU
Program Transferability
Highway Bridge Program • Up to 50% of Bridge Program apportionments may be transferred to NHS,
IM, STP, and/or CMAQ. Funds set aside for bridges not on federal-aid
highways (off-system bridges) may not be transferred unless a determi-
nation is made that the state has inadequate needs to justify expenditure
of the full amount of the set-aside funds.
Congestion Mitigation and • States may transfer up to 50% of the amount by which the CMAQ
Air Quality (CMAQ) apportionment for the fiscal year exceeds the amount that would have
been apportioned for that fiscal year if the CMAQ program had been
funded at $1.35 billion annually to STP, NHS, IM and/or Bridge
Replacement/Rehabilitation. Transferred funds may only be used in
nonattainment and maintenance areas.
Interstate Construction (IC) • A state other than Massachusetts may transfer an amount equivalent to
the federal share of the cost to complete its open-to-traffic Interstate
segments included in the latest Interstate Cost Estimate (ICE) from its IC
funds to NHS and/or IM. The work on which the transfer is based will be
removed from the ICE and will lose its IC fund eligibility.
• States may transfer IC funds remaining after all work included in the ICE
has been fully financed to the NHS.
• States with remaining completion work on Interstate gaps or open-to-
traffic segments may relinquish IC fund eligibility and transfer to the NHS
amounts equivalent to the federal share of the cost of such work in the
most recent ICE.
Interstate Maintenance (IM) • States may transfer up to 50% of IM apportionments to NHS, STP, CMAQ,
and/or Bridge Replacement/Rehabilitation.
National Highway System (NHS) • States may freely transfer up to 50% of NHS apportionments to IM, STP,
National Highway System (NHS), CMAQ, and/or Bridge
Replacement/Rehabilitation.
• States may transfer up to 100% of NHS apportionments to STP if
approved by the Secretary of Transportation and if sufficient notice and
opportunity for public comment is given.
Surface Transportation Program (STP) • Transportation Enhancement (TE) set-aside states may transfer up to 25%
of the difference between the amount set aside for TE for the fiscal year
and the amount set aside for TE for FY 1997 to IM, CMAQ, NHS, and/or
Bridge Replacement/Rehabilitation.
• Safety set-aside funds equivalent to the funds made available for FY 1991
for the Hazard Elimination and Railway-Highway Crossing Programs may
not be transferred. Up to 25% of the difference between the remainder of
the safety set aside for the fiscal year—the “optional safety” funds—and
the comparable amount for FY 2007 may be transferred to IM, CMAQ,
NHS, and/or Bridge Replacement/Rehabilitation.
• Suballocation to areas—STP funds allocated to sub-state areas (rural,
urbanized areas over 200,000 population) may not be transferred.
• Transfers to STP from IM, NHS, CMAQ, and Bridge Programs will not be
subject to further STP set asides or suballocations.
69
Innovative Highway Financing Strategies/Tools • Cash Flow Approaches
Tool Approach
Advance Construction Allows states to independently raise upfront capital required for a project
and preserve eligibility for future federal funding for the project. Projects
must be designated as advance construction projects to be eligible.
Bond Cost Reimbursement: Grant State-issued short-term note or long-term bond that uses future federal
Anticipation Revenue Vehicle (GARVEE) funds to support payment of principal and interest. Issuance and insurance
costs are also eligible. This is generally used in combination with advance
construction.
Flexible: Federal Land Management Funds from other federal agencies may count toward the non-federal
Agency Funds matching share for recreational trails and transportation enhancement
projects.
Flexible: Federal Lands Funds from DOT’s Federal Lands Highway Program may count toward non-
federal match for projects within or providing access to federal or Indian
lands.
Flexible: Publicly Owned Land Permits donations of publicly owned property to count toward non-federal
match on all federal-aid highway projects.
Partial Conversion of Form of advance construction; state only converts, obligates, or receives
Advance Construction reimbursement for part of its funding for an eligible project in a given year.
States no longer have to wait until the full amount of obligation authority is
available.
Program Level For STP projects, allows federal share for funds to be matched across the
full program, not on a project-by-project basis.
Tailored (Variable) Match Allows non-federal share to vary over project life, so long as the ultimate
matching share is preserved over time.
70
Tolls and Other Income-Generating Tools
Tool Approach
Right-of-Way Income This requires income from right-of-way sales and leases to be used for Title
23 (highway) purposes. States can receive investment credit for certain toll
revenue Investment Credits expenditures, which can be applied toward the
non-federal matching share of federal-aid highway programs (23 U.S.C. 129).
Leveraging Tools
Tool Approach
Bonds and Debt Costs, Issuance Allows states to use federal funds for bond principal, interest “Instrument
Financing” costs, and insurance on eligible projects.
Federal Share on Toll Projects Expanded use of federal funds for toll projects to include construction of
new facilities, resurfacing, restoration, and rehabilitation of existing facili-
ties and conversion of free facilities. Private facilities are now also eligible.
Flexible Match Allows states to apply private donations of materials, labor, or assets and
private funds toward the state or local match for federal-aid projects.
71
Credit Tools
Tools Approach
Rail Credit Pilot This provides direct federal loans and loan guarantees for rail and inter-
modal projects.
State Infrastructure Bank States could allocate up to 10% of their apportionment to capitalize the
state bank. Funds can be used to provide loans for projects. This can be
structured as a revolving loan fund, where loans are recycled for new
projects (23 U.S.C. 190).
State infrastructure banks can provide third-party guarantees to projects to

ensure that there is sufficient revenue to pay project costs or debt service.
Surface Transportation Credit Program This provides direct federal loans, loan guarantees, and lines of credit for
large surface transportation programs of national significance.
TIFIA (Transportation Infrastructure A federal credit program under which the U.S. DOT may provide three forms
Finance and Innovation Act of 1998) of credit assistance—secured (direct) loans, loan guarantees, and standby
lines of credit—for surface transportation projects of national or regional
significance. The fundamental goal is to leverage federal funds by attracting
substantial private and non-federal co-investment in critical improvements
to the nation’s surface transportation system.
72
U.S. Department of Transportation
A Publication of the Transportation Planning Capacity Building Program
Federal Highway Administration

Federal Transit Administration
For more information, contact:
Federal Highway Administration Federal Transit Administration

Office of Planning (HEPP) Office of Planning and Environment (TPE)
1200 New Jersey Avenue SE 1200 New Jersey Avenue SE
Washington, DC 20590 Washington, DC 20590
(202) 366-0106 (202) 366-6385
FHWA-HEP-07-039
www.planning.dot.gov

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TheTransportation

Planning Process Key Issues

A Publication of the Transportation Planning Capacity Building Program

2 PART I: OVERVIEW OF TRANSPORTATION PLANNING

14 PART II: MAJOR POLICY AND PLANNING ISSUES

PART I: OVERVIEW OF TRANSPORTATION PLANNING

Transportation planning plays a fundamental role in the state, region or

Figure 1: Transportation planning process

This book provides government officials, transportation decisionmakers,

This book has been updated to reflect changes in

For additional information about any of the topics

What is the transportation

Figure 1 illustrates the transportation planning process.

Transportation planning includes a number of steps:

• Monitoring existing conditions;

• Forecasting future population and employment growth, including assessing

• Identifying current and projected future transportation problems and needs

There are five core functions of an MPO:

Prepare and maintain a Metropolitan Transportation Plan (MTP): Develop and

Develop a Transportation Improvement Program (TIP): Develop a short-range

From an organizational perspective, there is no required structure for an MPO; as a

• A policy or executive board

• Technical and citizen advisory committees

• A director and staff

A technical advisory committee may then provide recommendations to the board on

Those involved in metropolitan transportation planning should reach out to

What are other responsibilities for some MPOs?

In addition to meeting federal mandates, MPOs often have extra responsibilities

What is a state DOT and what are its typical functions?

Primary transportation planning functions of the state DOT:

Prepare and Maintain a Long-Range Statewide Transportation Plan: Develop and

Develop a Statewide Transportation Improvement Program (STIP): Develop a

The federal government has a special government-to-government relationship with Indian

For more information on Tribal planning, see www.planning.dot.gov/tribal.asp.

What are key documents produced by the metropolitan and statewide

Figure 2: Key planning products

• Funding sources identified for each project;

• A schedule of activities; and

• The agency responsible for each task or study.

The Metropolitan Transportation Plan (MTP) or Long-Range Transportation Plan

• Cost estimates and reasonably available financial sources for operation,

Under federal law, the TIP:

• Covers a minimum four-year period of investment;

• Is updated at least every four years;

• Is approved by the MPO and the governor; and

• Is incorporated directly, without change, into the Statewide Transportation

• Funding sources identified for each project;

• A schedule of activities; and

• The agency responsible for each task or study.

The statewide plan also addresses:

• Policies and strategies, or future projects;

• Projected demand for transportation services over 20 or more years;

• A systems-level approach by considering roadways, transit, nonmotorized

• Statewide and regional land use, development, housing, natural environmental

• Cost estimates and reasonably available financial sources for operation,

Statewide Transportation Improvement Program (STIP): The STIP is similar to the

Under federal law and regulation, the STIP:

• Must be fiscally constrained and may include a financial plan.

How is federal transportation funding provided to states and metropolitan areas?

However, federal funding—transferred to the state and later distributed to metropol-

Federal funds are made available through a specific process:

• Authorizing Legislation: Congress enacts legislation that establishes or

• Apportionment: The distribution of program funds among states and